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DC

Douglas J. Crook

TRUIST SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2422171
DC

Professional summary

Douglas James Crook is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 16, Series 7, Series 4 and Series 24 exams.

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 James Crook's 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

August 3, 2018 - Present

TRUIST SECURITIES, INC.

Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001
BD
CRD#: 6271
NEW YORK, NY
Past

July 12, 2017 - July 20, 2018

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

June 5, 2017 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
LOS ANGELES, CA
Past

July 9, 2008 - July 20, 2018

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
SAN FRANCISCO, CA
Past

November 28, 2006 - February 29, 2008

GLOBAL CROWN CAPITAL, LLC

BD
CRD#: 16761
SAN FRANCISCO, CA
Past

March 9, 2004 - November 6, 2006

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

October 17, 2003 - February 23, 2004

PRESIDIO CAPITAL ADVISORS, LLC

BD
CRD#: 116284
SAN FRANCISCO, CA
Past

March 10, 2003 - October 17, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

June 21, 2002 - December 18, 2002

HOTOVEC, POMERANZ & CO., LLC

BD
CRD#: 41178
SAN FRANCISCO, CA
Past

October 23, 1997 - April 12, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 24, 1993 - September 30, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA

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
Alabama
(1/15/2019)
RR
Alaska
(1/15/2019)
RR
Arizona
(8/3/2018)
RR
Arkansas
(1/15/2019)
RR
California
(8/3/2018)
RR
Colorado
(1/15/2019)
RR
Connecticut
(1/15/2019)
RR
Delaware
(1/15/2019)
RR
District of Columbia
(1/15/2019)
RR
Florida
(1/15/2019)
RR
Georgia
(8/3/2018)
RR
Hawaii
(1/15/2019)
RR
Idaho
(1/15/2019)
RR
Illinois
(1/15/2019)
RR
Indiana
(1/15/2019)
RR
Iowa
(1/15/2019)
RR
Kansas
(1/15/2019)
RR
Kentucky
(1/15/2019)
RR
Louisiana
(1/15/2019)
RR
Maine
(1/15/2019)
RR
Maryland
(1/15/2019)
RR
Massachusetts
(1/15/2019)
RR
Michigan
(1/15/2019)
RR
Minnesota
(1/15/2019)
RR
Mississippi
(1/15/2019)
RR
Missouri
(1/15/2019)
RR
Montana
(1/15/2019)
RR
Nebraska
(1/15/2019)
RR
Nevada
(1/15/2019)
RR
New Hampshire
(1/15/2019)
RR
New Jersey
(1/15/2019)
RR
New Mexico
(1/15/2019)
RR
New York
(8/3/2018)
RR
North Carolina
(1/15/2019)
RR
North Dakota
(1/15/2019)
RR
Ohio
(1/15/2019)
RR
Oklahoma
(1/15/2019)
RR
Oregon
(1/15/2019)
RR
Pennsylvania
(1/15/2019)
RR
Puerto Rico
(1/15/2019)
RR
Rhode Island
(1/15/2019)
RR
South Carolina
(1/15/2019)
RR
South Dakota
(1/15/2019)
RR
Tennessee
(1/15/2019)
RR
Texas
(1/15/2019)
RR
Utah
(1/15/2019)
RR
Vermont
(1/15/2019)
RR
Virginia
(1/15/2019)
RR
Washington
(1/15/2019)
RR
West Virginia
(1/15/2019)
RR
Wisconsin
(1/15/2019)
RR
Wyoming
(1/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/18/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/14/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 16
Date: 8/11/2004
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/27/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION

CRD#: 6271 / SEC#: , 8-17212

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

Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRUIST FINANCIAL CORPORATIONPARENT COMPANY
COLEMAN, SHELLEY BRENNANAML OFFICER3163295
FARRELL, KATHLEEN ANNEBOARD MEMBER4038178
HACKETT, THOMAS PATRICKCHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER2878035
HUFFSTETLER, MARKBOARD MEMBER AND CHIEF CREDIT OFFICER2830214
HUMPHREYS, ADAMSECRETARY AND CHIEF LEGAL OFFICER7866934
JESSANI, KERRYBOARD MEMBER5048754
MILLIGAN, JOHNPRINCIPAL OPERATIONS OFFICER3206391
MORRIS, DONALD ROSS JRCHIEF FINANCIAL OFFICER3231801
PAPPAS, ALBERT GEORGECHIEF COMPLIANCE OFFICER1875535

Disclosures

Regulatory Event22
Arbitration1

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

TRUIST SECURITIES, INC.

CRD#: 6271New York, NY 10001

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