Douglas R. Platt
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 Rugh Platt, who also goes by Doug Platt, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 2 firms and has passed the Series 63, Series 65, 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
March 6, 2006 - August 5, 2022
PLATT INVESTMENT COUNSEL, LLC
March 15, 1991 - March 17, 1997
IAI SECURITIES, INC.
Primary Firm SEC Registration
PLATT INVESTMENT COUNSEL, LLC
CRD#: 118737 / SEC#: 801-112826
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
PLATT INVESTMENT COUNSEL, LLC
CRD#: 118737 / SEC#: 801-112826
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 372 |
| AUM (Assets Under Management) | $ 146,023,530 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/02/2025 | ||
| 10/04/2024 | ||
| 11/17/2023 | ||
| 10/20/2022 |
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.
