Douglas F. Fleet
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 Franklin Fleet, who also goes by Doug Fleet, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1971. Douglas had worked at 9 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1988 - March 7, 1990
OLSEN PAYNE & COMPANY
March 11, 1986 - October 7, 1987
FIRST ARIZONA INVESTMENT SECURITIES, INC.
November 24, 1975 - January 6, 1986
SECO SECURITIES, INC.
February 21, 1975 - November 4, 1975
PITTMAN & COMPANY, INCORPORATED
December 5, 1974 - March 3, 1975
BIRKEMANNY & PITTMAN
August 28, 1973 - December 30, 1974
BARTON AND COMPANY INCORPORATED
January 14, 1972 - September 27, 1973
B. J. LEONARD AND COMPANY, INC.
September 3, 1971 - December 30, 1971
M. L. FALLICK CO., INC.
January 26, 1971 - October 15, 1971
STONE SUMMERS & COMPANY
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: 8/19/1968
Registered Representative ExaminationSeries 00
Date: 7/11/1975
General Securities Principal ExaminationCurrent Firm
OLSEN PAYNE & COMPANY
CRD#: 15607 / SEC#: , 8-32286
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
