Douglas V. Eatough
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 Vincent Eatough, who also goes by Doug Eatough, Dougals V Eatough, Douglas VIncent Eatough, Douglas Eatough, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1990. Douglas had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2022 - August 29, 2024
SUMMIT GLOBAL INVESTMENTS, LLC
March 17, 2020 - January 10, 2022
FIDELITY BROKERAGE SERVICES LLC
March 5, 2019 - September 20, 2019
EDWARD JONES
February 12, 2019 - September 20, 2019
EDWARD JONES
October 6, 2017 - December 21, 2017
FBL MARKETING SERVICES, LLC
January 1, 2009 - December 31, 2009
215 INVESTMENT ADVISORS
May 13, 1991 - October 29, 2002
FIDELITY BROKERAGE SERVICES LLC
August 27, 1990 - February 5, 1991
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
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 7TO
Date: 3/5/2019
General Securities Representative ExaminationSeries 8
Date: 9/16/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,923 |
| AUM (Assets Under Management) | $ 1,921,141,101 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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