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DB

Douglas E. Bantum

WALLACHBETH CAPITAL LLC
JERSEY CITY, NJ 07311
Some features on this profile are disabled
CRD#: 2395456
DB

Professional summary

Douglas Edward Bantum is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Jersey City, New Jersey.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1994. Douglas has worked at 11 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Edward Bantum's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 2, 2012 - Present

WALLACHBETH CAPITAL LLC

Office #1: Harborside Financial Center Plaza 5 185 Hudson Street, Suite 1410, Jersey City, NJ 07311
BD
CRD#: 147853
JERSEY CITY, NJ
Past

May 10, 2012 - June 7, 2012

HCFP/CAPITAL MARKETS LLC

BD
CRD#: 149111
NEW YORK, NY
Past

September 9, 2011 - June 7, 2012

AURIGA USA, LLC

BD
CRD#: 121731
NEW YORK, NY
Past

July 17, 2009 - September 22, 2011

CAPSTONE INVESTMENTS

BD
CRD#: 41400
NEW YORK, NY
Past

June 26, 2007 - July 30, 2009

WEDBUSH SECURITIES INC.

BD
CRD#: 877
NEW YORK, NY
Past

April 28, 2005 - June 27, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
NEW YORK, NY
Past

March 9, 2002 - May 11, 2005

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

August 19, 1997 - March 9, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

July 5, 1995 - September 16, 1997

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

November 10, 1994 - July 18, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 29, 1994 - August 8, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/2/2012)
RR
Connecticut
(1/25/2021)
RR
Illinois
(6/5/2015)
RR
Massachusetts
(1/24/2014)
RR
Minnesota
(6/12/2015)
RR
New Jersey
(3/14/2018)
RR
New York
(7/2/2012)
RR
Pennsylvania
(2/18/2022)
RR
Rhode Island
(7/12/2013)
RR
Texas
(2/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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.

Company Information

WALLACHBETH CAPITAL LLC

CRD#: 147853Jersey City, NJ 07311

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