DG
Doug S. Graumann
DOMINION PORTFOLIO MANAGEMENT
WENATCHEE, WA 98801
Some features on this profile are disabled
CRD#: 2497329
DG
Professional summary
Doug Scott Graumann, who also goes by Doug Scott Grauman, is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Wenatchee, Washington and CALTON & ASSOCIATES, INC. located in Marble Falls, Texas.
Doug is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Doug has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Scott Grauman
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.
CRS (Client Relationship Summary) - RIA
Click below to view Doug Scott Graumann'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®
NoneExperience
Current
January 25, 2018 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
Office #1: 101 S. Wenatchee Avenue Suite C, Wenatchee, WA 98801RIA
CRD#: 106918
WENATCHEE, WA
Current
July 2, 2023 - Present
CALTON & ASSOCIATES, INC.
Office #1: 1002 Marble Heights Drive Suite 101, Marble Falls, TX 78654RIA
BD
CRD#: 20999
Marble Falls, TX
Past
January 2, 2018 - July 20, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
WENATCHEE, WA
Past
January 24, 2012 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
WENATCHEE, WA
Past
January 23, 2012 - December 31, 2017
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
WENATCHEE, WA
Past
February 23, 2004 - January 23, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
WENATCHEE, WA
Past
February 23, 2004 - January 23, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
WENATCHEE, WA
Past
January 3, 2002 - February 18, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
May 6, 1998 - January 2, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 10, 1998 - April 30, 1998
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
July 6, 1994 - March 9, 1998
SEAFIRST INVESTMENT SERVICES, INC.
BD
CRD#: 17411
SEATTLE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(7/2/2023)
RR
California(7/2/2023)
RR
Colorado(7/2/2023)
RR
Idaho(7/2/2023)
IAR
Washington(2/23/2018)
RR
Washington(7/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
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.
