Douglas D. Ivan
Professional summary
Douglas Daniel Ivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Douglas had worked at 9 firms, which includes HALTER FINANCIAL SECURITIES INC., STERNE AGEE & LEACH INC., BDO CAPITAL ADVISORS LLC, THE SEIDLER COMPANIES INCORPORATED, INDEPENDENT FINANCIAL GROUP LLC, WELLS FARGO SECURITIES LLC, H.J. MEYERS & CO. INC., SUTRO & CO. INCORPORATED, MONTANO SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2008 - May 11, 2010
HALTER FINANCIAL SECURITIES, INC.
May 10, 2007 - February 8, 2008
STERNE, AGEE & LEACH, INC.
July 14, 2003 - November 28, 2006
BDO CAPITAL ADVISORS, LLC
March 26, 2001 - July 14, 2003
THE SEIDLER COMPANIES INCORPORATED
March 23, 2001 - July 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
November 5, 1996 - March 30, 2001
WELLS FARGO SECURITIES, LLC
March 31, 1994 - April 22, 1994
H.J. MEYERS & CO., INC.
March 29, 1994 - November 11, 1996
SUTRO & CO. INCORPORATED
March 26, 1993 - April 7, 1994
MONTANO SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
HALTER FINANCIAL SECURITIES, INC.
CRD#: 104093 / SEC#: , 8-52550
Contact information
Documents
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