Damien R. Douglas
Professional summary
Damien Robert Douglas was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Damien is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Damien had worked at 7 firms, which includes EASTBROOK CAPITAL GROUP LLC, THE BOSTON GROUP, STATE CAPITAL MARKETS CORPORATION, NICHOLS SAFINA LERNER & CO. INC., JWGENESIS SECURITIES INC., THE STAMFORD COMPANY INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1998 - November 7, 2000
EASTBROOK CAPITAL GROUP LLC
May 19, 1997 - May 27, 1998
THE BOSTON GROUP
March 22, 1996 - October 30, 1996
STATE CAPITAL MARKETS CORPORATION
June 22, 1995 - January 1, 1996
NICHOLS, SAFINA, LERNER & CO. INC.
October 20, 1994 - May 18, 1995
JWGENESIS SECURITIES, INC.
December 10, 1993 - October 5, 1994
THE STAMFORD COMPANY, INC.
February 1, 1993 - September 24, 1993
GRUNTAL & CO., L.L.C.
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
EASTBROOK CAPITAL GROUP LLC
CRD#: 39781 / SEC#: , 8-48808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ATLAS B TRUST | MEMBER | |
| THE CREST VIEW TRUST | MEMBER | |
| THE MAIN STREET TRUST | MEMBER | |
| THE MONTAUK TRUST | MEMBER | |
| THE OAK TREE TRUST | MEMBER | |
| ALBION CORP. | TRUSTEE OF THE MAIN STREET TRUST | |
| COMMONWEALTH TRUST COMPANY | TRUSTEE OF THE OAK TREE TRUST | |
| DAUM, MARC | CFO/FINANCIAL AND OPERATIONS PRINCIPAL (05/2004) | 1503109 |
| ESSEX SAVINGS BANK | TRUSTEE OF THE CREST VIEW TRUST | |
| NORTH FORK MANAGEMENT SERVICES INC. | TRUSTEE OF THE MONTAUK TRUST | |
| SAMSON, EDWARD GREGORY | FINOP CONSULTANT CCO | 2041321 |
| UNIVERSAL ASSET MANAGEMENT INC. | TRUSTEE OF THE ATLAS B TRUST |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
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.
