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DC

Douglas F. Conrod

FRONTIER SECURITIES
Richmond, VA 23233
CRD#: 2457046
Some features on this profile are disabled
DC
Douglas Franklin ConrodFRONTIER SECURITIES

Professional summary

Douglas Franklin Conrod, who also goes by Doug Conrod, Douglas Franklin Conrod II, is a registered financial professional currently at FRONTIER SECURITIES located in Richmond, Virginia.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1994. Douglas has worked at 12 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Conrod | Douglas Franklin Conrod Ii

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 Franklin Conrod's CRS (Customer Relationship Summary).
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

June 16, 2026 - Present

FRONTIER SECURITIES

Office #1: 3307 Church Road, Suite 220, Richmond, VA 23233
BD
CRD#: 136102
Richmond, VA
Past

July 15, 2024 - February 18, 2026

TEMPLUM MARKETS LLC

BD
CRD#: 102840
NEW YORK, NY
Past

May 2, 2017 - May 28, 2021

DUCERA SECURITIES LLC

BD
CRD#: 269984
NEW YORK, NY
Past

August 28, 2014 - April 17, 2017

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

January 24, 2014 - January 30, 2014

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

May 14, 2013 - August 8, 2013

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

April 23, 2010 - May 14, 2013

STONECASTLE SECURITIES, LLC

BD
CRD#: 131211
NEW YORK, NY
Past

April 25, 2005 - April 6, 2010

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

July 16, 2003 - February 15, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

September 13, 2002 - July 17, 2003

VCROSS CAPITAL MARKETS LLC

BD
CRD#: 40949
GREENWICH, CT
Past

November 15, 2000 - September 12, 2002

AK CAPITAL LLC

BD
CRD#: 28345
NEW YORK, NY
Past

June 26, 1998 - March 9, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

February 21, 1997 - April 3, 1998

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 29, 1994 - December 3, 1996

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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
(6/17/2026)
RR
California
(6/17/2026)
RR
Colorado
(6/17/2026)
RR
Connecticut
(6/16/2026)
RR
Delaware
(6/16/2026)
RR
District of Columbia
(6/17/2026)
RR
Florida
(6/17/2026)
RR
Illinois
(6/17/2026)
RR
Kansas
(6/17/2026)
RR
Massachusetts
(6/17/2026)
RR
Minnesota
(6/16/2026)
RR
Missouri
(6/16/2026)
RR
New Jersey
(6/17/2026)
RR
New York
(6/16/2026)
RR
Ohio
(6/16/2026)
RR
Pennsylvania
(6/17/2026)
RR
Texas
(6/16/2026)
RR
Vermont
(6/17/2026)
RR
Virginia
(6/18/2026)
RR
Washington
(6/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/24/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

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

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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

FRONTIER SECURITIES

CRD#: 136102Richmond, VA 23233

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