Douglas C. Horlick
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 Craig Horlick, who also goes by Douglas Horlick, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2004. Douglas had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7, Series 2, Series 24 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2020 - June 17, 2026
BCW SECURITIES LLC
December 23, 2009 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
June 3, 2005 - December 7, 2009
GOLDMAN SACHS & CO. LLC
October 6, 2004 - June 2, 2005
CITIGROUP GLOBAL MARKETS 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
Series 79TO
Date: 8/3/2020
Investment Banking Registered Representative ExaminationSeries 2
Date: 8/24/1993
Non-Member General Securities ExaminationCurrent Firm
BCW SECURITIES LLC
CRD#: 144930 / SEC#: , 8-67685
Contact information
FINRA licenses (30 States and Territories)
Red Flags
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