Douglas C. Evans
Professional summary
Douglas Craig Evans, who also goes by Doug Evans, is a registered financial professional currently at NI ADVISORS located in Milpitas, California.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 20 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, Series 57TO, Series 52TO, SIE, Series 87, Series 86, Series 55, Series 3, Series 7, Series 4, Series 27, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Craig Evans's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2025 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035March 31, 2025 - June 5, 2025
FE CAPITAL MARKETS
May 10, 2024 - November 6, 2024
EMERSON EQUITY LLC
June 2, 2023 - July 17, 2023
TRADESK SECURITIES, INC.
April 4, 2018 - December 25, 2020
HICKORY CAPITAL, LLC
August 26, 2015 - December 21, 2015
WEALTH QUARTERBACK, LLC
September 10, 2009 - March 28, 2016
STALWART CAPITAL, LLC
June 25, 2008 - September 29, 2008
DC EVANS INVESTMENT ADVISORS, LLC
December 3, 2004 - March 16, 2009
CHARLES VISTA LLC
April 21, 2003 - October 27, 2003
WINDHAM SECURITIES, INC.
January 18, 2000 - July 23, 2002
WINDSOR STREET CAPITAL, LP
July 6, 1999 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
August 3, 1998 - June 28, 1999
TAYLOR STUART FINANCIAL, INC.
August 27, 1997 - July 27, 1998
J. P. GIBBONS & CO., INC.
August 5, 1996 - February 4, 1997
POLARIS FINANCIAL SERVICES, INC.
September 9, 1993 - August 16, 1996
MERIT CAPITAL ASSOCIATES, INC.
March 16, 1993 - September 1, 1993
G.R. STUART & COMPANY, INC.
January 27, 1993 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
February 11, 1992 - October 8, 1992
A. G. EDWARDS & SONS, INC.
September 24, 1991 - February 5, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/26/2025)
Exams
Series 7TO
Date: 6/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 6/2/2023
Securities Trader ExamSeries 52TO
Date: 6/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 2/14/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 3/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 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.
