Douglas C. Black
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 Conrad Black was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1969. Douglas had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 000, Series 1, Series 24, Series 27, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2017 - December 31, 2021
ARBOR POINT ADVISORS
October 2, 2017 - December 31, 2021
SECURITIES AMERICA, INC.
September 1, 2016 - October 5, 2017
SUMMIT FINANCIAL GROUP INC
September 1, 2016 - October 5, 2017
SUMMIT BROKERAGE SERVICES, INC.
September 23, 2008 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
September 23, 2008 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
July 19, 2007 - September 23, 2008
INVESTMENT ADVISORS CORP
July 2, 2007 - September 23, 2008
BROKER DEALER FINANCIAL SERVICES CORP.
June 3, 1999 - July 2, 2007
SECURITIES SERVICE NETWORK, LLC
March 23, 1990 - May 13, 1999
OPPENHEIMER & CO. INC.
July 12, 1984 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
March 1, 1983 - July 9, 1984
BOETTCHER & COMPANY, INC.
September 16, 1977 - February 24, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 24, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 4/21/1969
General Securities Principal ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 00
Date: 6/22/1972
General Securities Principal ExaminationSeries 12
Date: 1/9/1972
NYSE Branch Manager ExaminationCurrent Firm
ARBOR POINT ADVISORS
CRD#: 165127 / SEC#: 801-77135
Contact information
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
