Douglas B. Tegen
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 Bocher Tegen, who also goes by Douglas B Tegen, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2009 - October 1, 2019
SRA SECURITIES, LLC
October 13, 2003 - February 2, 2006
COCHRAN CARONIA WALLER SECURITIES LLC
August 30, 2000 - December 19, 2002
LEHMAN BROTHERS INC.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
February 22, 1995 - May 16, 2000
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
SRA SECURITIES, LLC
CRD#: 149125 / SEC#: , 8-68113
Contact information
Documents
Direct owners and executive officers
Red Flags
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