Robert A. Douglis
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.
Robert Allen Douglis, who also goes by Rob Douglis, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
March 2, 2018 - March 15, 2018
FIRST FOUNDATION ADVISORS
February 6, 2017 - January 2, 2018
HALBERT HARGROVE
August 4, 2010 - January 9, 2017
TD AMERITRADE, INC.
August 2, 2010 - January 9, 2017
TD AMERITRADE, INC.
August 2, 2010 - January 9, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 20, 2008 - July 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2008 - July 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2002 - February 21, 2008
WAMU INVESTMENTS, INC.
June 25, 2002 - February 21, 2008
WAMU INVESTMENTS, INC.
October 7, 1996 - October 9, 2001
UBS FINANCIAL SERVICES INC.
January 16, 1995 - October 1, 1996
CITIGROUP GLOBAL MARKETS INC.
June 22, 1993 - January 31, 1995
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
FIRST FOUNDATION ADVISORS
CRD#: 106075 / SEC#: 801-35973
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
FIRST FOUNDATION ADVISORS
CRD#: 106075 / SEC#: 801-35973
Contact information
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 5,445,880,088 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 12/04/2024 | ||
| 09/27/2024 | ||
| 08/30/2023 | ||
| 02/28/2023 |
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.
