David L. Douglas
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.
David Lee Douglas was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 53 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
February 13, 2015 - November 21, 2017
PHX FINANCIAL, INC.
May 30, 2012 - January 23, 2013
INVEST FINANCIAL CORPORATION
October 20, 2010 - February 18, 2011
MSI FINANCIAL SERVICES, INC.
April 28, 2006 - June 15, 2009
MML INVESTORS SERVICES, LLC
March 31, 2005 - June 21, 2005
GUNNALLEN FINANCIAL, INC
December 3, 2002 - March 4, 2005
RAYMOND JAMES & ASSOCIATES, INC.
October 6, 2000 - December 5, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 29, 1999 - December 11, 2000
DONAHUE SECURITIES, INC.
March 18, 1999 - October 20, 1999
RUSHMORE SECURITIES CORPORATION
October 22, 1997 - March 25, 1999
WS GRIFFITH SECURITIES, INC.
April 23, 1997 - June 9, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 23, 1997 - June 9, 1997
OSAIC FA, INC.
June 7, 1996 - March 18, 1997
IDS LIFE INSURANCE COMPANY
June 7, 1996 - March 18, 1997
AMERIPRISE FINANCIAL 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
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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