Douglas A. Kris
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 Alexander Kris was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - December 31, 2014
KLR GROUP, LLC
January 29, 2013 - November 19, 2013
A.G.P. / ALLIANCE GLOBAL PARTNERS
November 1, 2003 - April 12, 2012
BMO CAPITAL MARKETS CORP.
August 1, 1996 - November 1, 2003
HARRIS NESBITT CORP.
November 22, 1994 - July 10, 1996
COLIN WINTHROP & CO., INC.
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
Series 55
Date: 4/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
KLR GROUP, LLC
CRD#: 165586 / SEC#: , 8-69168
Contact information
Documents
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.
