Douglas J. Burke
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 John Burke, who also goes by Doug Burke, Douglas J Burke, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 7 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
December 5, 2022 - October 10, 2024
BA SECURITIES, LLC
July 9, 2020 - December 6, 2022
ASHLAND SECURITIES, LLC
September 22, 2017 - June 16, 2020
KEYSTONE CAPITAL MARKETS
March 21, 2017 - September 11, 2017
COINBASE CAPITAL MARKETS CORP
July 31, 2006 - May 30, 2008
MORGAN JOSEPH TRIARTISAN LLC
May 4, 2005 - August 7, 2006
PAGEMILL PARTNERS, LLC
January 8, 2002 - May 24, 2005
MONTGOMERY & CO., LLC
February 1, 2001 - November 7, 2001
TUCKER ANTHONY INCORPORATED
February 18, 1994 - January 31, 2001
SUTRO & CO. INCORPORATED
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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
