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Douglas A. Troszak

Some features on this profile are disabled
CRD#: 2219763
DT

Professional summary

Douglas Allen Troszak 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 2 firms, which includes NORTH WOODWARD FINANCIAL CORP., GREGORY J. SCHWARTZ & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Troszak

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 3, 2000 - August 12, 2014

NORTH WOODWARD FINANCIAL CORP.

BD
CRD#: 104097
BIRMINGHAM, MI
Past

May 18, 1992 - December 12, 2000

GREGORY J. SCHWARTZ & CO., INC.

BD
CRD#: 7294
BLOOMFIELD HILLS, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/17/2003
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2000
General Securities Principal Examination

Current Firm

NW
NORTH WOODWARD FINANCIAL CORP.
NORTH WOODWARD FINANCIAL CORP.

CRD#: 104097 / SEC#: , 8-52557

BD
Cancelled by SEC on 09/21/2015
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 09/01/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TROSZAK, DOUGLAS ALLENPRESIDENT/CFO/CCO/FINOP

Disclosures

Regulatory Event7

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.

Company Information

NORTH WOODWARD FINANCIAL CORP.

CRD#: 104097

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