Roger M. Douglas
Professional summary
Roger Mixon Douglas is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Birmingham, Alabama.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1993. Roger has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Mixon Douglas's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 16, 2012 - May 2, 2017
SECURITIES SERVICE NETWORK, LLC
October 31, 2006 - November 16, 2012
THE O.N. EQUITY SALES COMPANY
January 8, 2003 - November 3, 2006
WALNUT STREET SECURITIES, INC.
March 8, 2000 - April 13, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 20, 1999 - December 31, 2002
AVALON INVESTMENT & SECURITIES GROUP, INC.
February 2, 1998 - December 31, 1998
AVALON INVESTMENT & SECURITIES GROUP, INC.
February 5, 1997 - February 3, 1998
SECURITIES SERVICE NETWORK, LLC
August 25, 1993 - February 5, 1997
GUARDIAN INVESTOR 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
(5/1/2017)
(5/1/2017)
(5/1/2017)
Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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