Douglas A. Rausch
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 Alan Rausch, who also goes by Doug Rausch, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - November 8, 2022
GREAT POINT CAPITAL LLC
December 7, 2010 - December 21, 2023
ACORN FINANCIAL ADVISORY SERVICES, INC.
February 1, 2010 - July 21, 2021
THE STRATEGIC FINANCIAL ALLIANCE, INC.
February 1, 2010 - July 21, 2021
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 1, 2004 - February 2, 2010
CETERA ADVISORS LLC
January 1, 2004 - February 2, 2010
CETERA ADVISORS LLC
January 1, 1996 - January 1, 2004
IFG ADVISORY SERVICES INC
January 1, 1996 - January 2, 2004
IFG NETWORK SECURITIES, INC.
October 27, 1992 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
