Douglas A. Fry
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 Alan Fry was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1994. Douglas had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2006 - October 19, 2009
QA3 FINANCIAL LLC
March 30, 2006 - October 19, 2009
QA3 FINANCIAL CORP.
July 30, 2002 - March 30, 2006
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 22, 2001 - August 29, 2002
FIRST MONTAUK SECURITIES CORP.
February 5, 1998 - June 20, 2001
METROPOLITAN INVESTMENT SECURITIES, INC.
October 30, 1997 - February 9, 1998
SAN CLEMENTE SECURITIES, INC.
September 3, 1997 - October 22, 1997
U.S. BANCORP INVESTMENTS, INC.
March 28, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
February 28, 1995 - February 29, 1996
IDS LIFE INSURANCE COMPANY
July 14, 1994 - February 29, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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