Douglas M. Perkins

DIVERGENCE CAPITAL MANAGEMENT

Greenwich, CT

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CRD#: 2520305

Professional summary

Douglas Michael Perkins, who also goes by Doug Perkins, Douglas Perkins, Douglas M Perkins, is a registered financial advisor currently at DIVERGENCE CAPITAL MANAGEMENT located in Greenwich, Connecticut.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Douglas has worked at 10 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 79, Series 6 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Perkins | Douglas Perkins | Douglas M Perkins

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.

1) SALT ROCK LLC; Managing Member: It is disregarded entity used to make personal investments INVESTMENT RELATED: No; 0; 0; STARTED 11/09/2012; 38 Cutler Road, Greenwich CT 06831, US; Filing Paperwork-The only thing this entity is used for is placing trades through the Interactive Brokers Account ending in 1948 - Already disclosed as an outside account. 2) GREENWICH HIGH SCHOOL GIRLS VARSITY ICE HOCEY; Assistant Coach; NON-INVESTMENT RELATED; January 2023 - March 2023; 10 hours per week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Michael Perkins'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®

None

Experience

Current

May 16, 2007 - Present

DIVERGENCE CAPITAL MANAGEMENT

RIA

CRD#: 139601

Greenwich, CT

Past

September 29, 2022 - December 22, 2022

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Greenwich, CT

Past

July 11, 2022 - December 22, 2022

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

August 3, 2020 - August 5, 2022

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

March 19, 2018 - July 23, 2020

MARCH CAPITAL CORP.

CRD#: 24142

CHICAGO, IL

Past

December 3, 2013 - April 7, 2016

INDIAN HARBOR, LLC

CRD#: 115584

COS COB, CT

Past

July 23, 2003 - March 7, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

PRINCETON, NJ

Past

September 26, 2002 - March 7, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

PRINCETON, NJ

Past

December 15, 1998 - August 8, 2002

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

September 1, 1997 - January 29, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 24, 1995 - November 26, 1996

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/16/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/6/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2018

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 7/23/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/25/2024

Financial and Operations Principal Examination

Current Firm

DIVERGENCE CAPITAL MANAGEMENT

DIVERGENCE CAPITAL MANAGEMENT | PERKINS INVESTMENT MANAGEMENT INC. | PERKINS INVESTMENT MANAGEMENT | DIVERGENCE CAPITAL MANAGEMENT, INC.

CRD#: 139601 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/16/2007 Approved)

New Jersey

Registered Investment Advisory firm - (12/31/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(917) 592-1161

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 2,307,000

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.

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Firm Stability Insights

Douglas M. Perkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Michael Perkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

OLD CITY SECURITIES LLC

MARCH CAPITAL CORP.

INDIAN HARBOR, LLC

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

UST FINANCIAL SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/2018

Series 66

Date: 12/19/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2018

Series 79

Date: 7/23/2015

Series 6

Date: 10/17/1994

Series 27

Date: 3/25/2024

Current Firm

DIVERGENCE CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIVERGENCE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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