Douglas L. Forsberg
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 Lee Forsberg, who also goes by Doug Forsberg, Douglas L Forsberg, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1973. Douglas had worked at 6 firms and has passed the Series 63, Series 1 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
January 28, 2014 - May 7, 2018
CHERRY TREE WEALTH MANAGEMENT, LLC
November 11, 1998 - March 10, 2000
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
August 31, 1990 - June 20, 1994
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
November 28, 1979 - May 10, 1996
AMERICAN EXPRESS FINANCIAL CORPORATION
November 28, 1979 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 28, 1979 - October 2, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 1973 - June 16, 1999
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CHERRY TREE WEALTH MANAGEMENT, LLC
CRD#: 151406 / SEC#: 801-70554
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: 11/15/1979
Registered Representative ExaminationCurrent Firm
CHERRY TREE WEALTH MANAGEMENT, LLC
CRD#: 151406 / SEC#: 801-70554
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,042 |
| AUM (Assets Under Management) | $ 593,289,354 |
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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