Douglas A. Dameron
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 Andrew Dameron, who also goes by Doug Dameron, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2014 - April 26, 2021
CAPITOL SECURITIES MANAGEMENT, INC.
October 10, 2014 - April 26, 2021
CAPITOL SECURITIES MANAGEMENT, INC.
June 1, 2009 - October 17, 2014
MORGAN STANLEY
June 1, 2009 - October 17, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 28, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
January 11, 1994 - April 2, 2007
MORGAN STANLEY DW INC.
October 5, 1992 - February 3, 1994
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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 8
Date: 7/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
