Douglas A. Vandorsten
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 A Vandorsten was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 3 firms and has passed the Series 63, Series 87, 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
August 29, 2002 - August 19, 2005
WELLS FARGO SECURITIES, LLC
January 27, 1999 - August 15, 2002
THOMAS WEISEL PARTNERS LLC
May 8, 1995 - January 11, 1999
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 7665 / SEC#: , 8-22947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO PRIVATE CLIENT FUNDING, INC. | PARENT | |
| HULLAR, JOHN PAUL | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD | |
| SALINS, NATASHA ZALEEMA | CHIEF COMPLIANCE OFFICER | 3250279 |
| SLOAN, TIMOTHY JOHN | VICE CHAIRMAN OF THE BOARD/DIRECTOR | |
| YATES, EUGENE ALAN | CHIEF FINANCIAL OFFICER/TREASURER/FINANCIAL AND OPERATIONS PRINCIPAL | 2851324 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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