Douglas A. Dill
Professional summary
Douglas Arthur Dill was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Douglas had worked at 3 firms, which includes PARKER/HUNTER INCORPORATED, KEYBANC CAPITAL MARKETS INC., SWENEY CARTWRIGHT & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1995 - January 24, 1997
PARKER/HUNTER INCORPORATED
June 23, 1993 - November 16, 1995
KEYBANC CAPITAL MARKETS INC.
August 13, 1992 - June 23, 1993
SWENEY CARTWRIGHT & 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
Current Firm
PARKER/HUNTER INCORPORATED
CRD#: 7324 / SEC#: , 8-15023
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANNEY MONTGOMERY SCOTT LLC | SOLE SHAREHOLDER | 463 |
| DINGER, BRADLEY NELSON | SENIOR VP, CHIEF FINANACIAL OFFICER | 4768454 |
| KAMPMEINERT, ROBERT WILLIAM | PRESIDENT, & DIRECTOR | 263678 |
| KLEPPER, ALBERTA SPERNAK | SR. VP, CROP, SROP | 734611 |
| KNOTT, MARK DOUGLAS | DIRECTOR | 1113034 |
| LEWIS, JAY WARREN | SENIOR VP, CHIEF COUNSEL, CHIEF COMPLIANCE OFFICER | 1367819 |
| LOMBARD, JEROME FRANCIS JR | DIRECTOR | 1066832 |
| MCCULLOCH, ROBERT SPITTAL III | SENIOR VICE PRESIDENT, DIRECTOR | 730963 |
| NEWLIN, WILLIAM R | DIRECTOR | 2594648 |
| SCHERER, HOWARD BRUCE | DIRECTOR | 1235668 |
| WOLITARSKY, JAMES WILLIAM | CEO AND CHAIRMAN | 1535038 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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