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Douglas Alan Fry

CRD# 2511674·Registered 1994 - 2009
Previously Registered: Being a previously registered professional could mean that Douglas 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.

Professional Summary

Douglas Alan Fry was a registered financial advisor. Douglas was a previously registered financial advisor and started their career in finance 1994 - 2009. Douglas had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

QA3 FINANCIAL LLC·CRD# 104957
RIA
Spokane Valley, WA
May 12, 2006 - October 19, 2009
QA3 FINANCIAL CORP.·CRD# 14754
BD
Hayden, ID
March 30, 2006 - October 19, 2009
GREAT NORTHERN FINANCIAL SECURITIES, INC.·CRD# 113054
BD
Hayden, ID
July 30, 2002 - March 30, 2006
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
BD
Red Bank, NJ
June 22, 2001 - August 29, 2002
METROPOLITAN INVESTMENT SECURITIES, INC.·CRD# 14146
BD
Spokane, WA
February 5, 1998 - June 20, 2001
SAN CLEMENTE SECURITIES, INC.·CRD# 21895
BD
San Clemente, CA
October 30, 1997 - February 9, 1998
U.S. BANCORP INVESTMENTS, INC.·CRD# 17868
BD
Saint Paul, MN
September 3, 1997 - October 22, 1997
U.S. BANCORP SECURITIES·CRD# 17439
BD
Portland, OR
March 28, 1996 - September 3, 1997
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
February 28, 1995 - February 29, 1996
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
July 14, 1994 - February 29, 1996

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1994About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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