Douglas A. Derosa
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 Anthony Derosa was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 6 firms and has passed the Series 66, Series 63, Series 55, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2013 - August 6, 2014
QUASAR TRADING, LLC
July 28, 2011 - October 28, 2011
PROTRADE SECURITIES, LLC
February 24, 2006 - October 29, 2008
TRUIST INVESTMENT SERVICES, INC.
January 26, 2006 - October 29, 2008
TRUIST INVESTMENT SERVICES, INC.
March 13, 2002 - January 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2002 - January 25, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1999 - October 18, 2001
ELECTRONIC TRADING GROUP, LLC
December 15, 1994 - June 23, 1998
AMERIPRISE ADVISOR SERVICES, INC.
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 55
Date: 4/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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