Douglas W. Elsler
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 Wayne Elsler, who also goes by Doug Elsler, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 5 firms and has passed the Series 63, SIE 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
January 24, 2003 - December 22, 2014
AMERICAN EQUITY INVESTMENT CORPORATION
April 10, 2002 - December 3, 2002
UNITED SECURITIES ALLIANCE, INC.
August 30, 1999 - March 6, 2002
SICOR SECURITIES INC
August 7, 1995 - September 30, 1999
WMA SECURITIES, INC.
March 14, 1994 - August 15, 1995
PFS INVESTMENTS 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
Current Firm
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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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