Douglas A. Cruikshank
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 Andrew Cruikshank was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2014 - December 8, 2014
CAROLINA FINANCIAL SECURITIES, LLC
September 22, 2008 - June 15, 2012
BARCLAYS CAPITAL INC.
June 1, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
November 3, 2000 - September 20, 2002
PERSHING LLC
February 17, 2000 - May 24, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 11, 1997 - February 9, 2000
JPMSI
August 7, 1993 - August 31, 1995
JPMSI
September 13, 1991 - August 26, 1992
DB ALEX. BROWN LLC
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
Current Firm
CAROLINA FINANCIAL SECURITIES, LLC
CRD#: 41970 / SEC#: , 8-49653
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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