Douglas R. Fenning
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Raymond Fenning was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1964. Douglas had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2006 - December 31, 2007
ALTERNATIVE WEALTH STRATEGIES, INC.
January 3, 2002 - December 20, 2006
CULLUM & BURKS SECURITIES, INC.
December 23, 1999 - June 1, 2000
FIRST ALLIED SECURITIES, INC.
March 24, 1992 - December 31, 1997
AVANTAX INVESTMENT SERVICES, INC.
October 31, 1989 - June 19, 1991
VFS SECURITIES CORP.
May 1, 1979 - September 28, 1989
USLIFE EQUITY SALES CORP.
January 11, 1977 - May 1, 1979
May 4, 1973 - February 21, 1974
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 26, 1972 - February 14, 1975
STEINER, ROUSE & CO., INC.
July 10, 1964 - December 5, 1974
EDWARDS & HANLY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/6/1964
Registered Representative ExaminationCurrent Firm
ALTERNATIVE WEALTH STRATEGIES, INC.
CRD#: 130933 / SEC#: , 8-66410
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 6 |
Red Flags
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