Douglas A. Vrame
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 Anton Vrame, who also goes by Doug Anton Vrame, Douglas Anton Vrame Mr., was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2014 - June 2, 2015
SHEAFF BROCK INVESTMENT ADVISORS, LLC
July 17, 2012 - July 15, 2014
MERCER GLOBAL ADVISORS INC.
May 19, 2010 - September 9, 2010
WAVELAND CAPITAL PARTNERS LLC
May 18, 2010 - September 9, 2010
WAVELAND CAPITAL PARTNERS LLC
October 2, 2009 - May 10, 2010
UNION CAPITAL COMPANY
October 2, 2009 - May 10, 2010
UNION CAPITAL COMPANY
May 18, 2009 - October 29, 2009
LAWSON FINANCIAL CORPORATION
June 30, 2008 - April 21, 2009
ADVANCED EQUITIES, INC.
August 20, 2007 - April 21, 2009
ADVANCED EQUITIES, INC.
August 9, 2004 - August 21, 2007
CHURCHILL MANAGEMENT GROUP
December 6, 2002 - March 16, 2004
LASALLE FINANCIAL SERVICES, INC.
February 12, 2001 - November 25, 2002
LEHMAN BROTHERS INC.
May 7, 1994 - February 9, 1999
MORGAN STANLEY & CO. LLC
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
Current Firm
SHEAFF BROCK INVESTMENT ADVISORS, LLC
CRD#: 118739 / SEC#: 801-60978
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,778 |
| AUM (Assets Under Management) | $ 1,410,206,314 |
Red Flags
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