Douglas G. Bruggeman
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 Gene Bruggeman was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1993. Douglas had worked at 9 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 18, 2015 - April 21, 2020
FIRST ALLIED SECURITIES, INC.
October 15, 2014 - April 21, 2020
CETERA FINANCIAL SPECIALISTS LLC
October 15, 2014 - April 21, 2020
CETERA ADVISORS LLC
October 9, 2012 - April 21, 2020
CETERA WEALTH SERVICES, LLC
January 5, 2005 - December 31, 2006
BANCNORTH INVESTMENT GROUP, INC.
January 5, 2005 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
August 6, 2001 - November 4, 2001
GUARANTY BROKERAGE SERVICES, INC.
August 6, 2001 - November 4, 2001
BANCNORTH INVESTMENT GROUP, INC.
April 20, 2000 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
December 6, 1993 - April 21, 2020
CETERA INVESTMENT SERVICES 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
Series 7TO
Date: 12/8/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/8/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
