Douglas A. Symsmith
Professional summary
Douglas Alan Symsmith, who also goes by Douglas Alan Symsmith, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Alan Symsmith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2012 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262June 4, 2012 - June 20, 2012
EDWARD JONES
June 4, 2012 - June 20, 2012
EDWARD JONES
April 4, 2007 - December 8, 2011
TD AMERITRADE, INC.
April 4, 2007 - December 8, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 29, 2007 - December 8, 2011
TD AMERITRADE, INC.
October 4, 1991 - February 6, 2007
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2014)
(7/12/2013)
(7/12/2013)
Exams
Series 8
Date: 5/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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