Douglas L. Rauch
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 Louis Rauch was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - November 24, 2021
RAUCH ADVISORY LLC
September 30, 2002 - January 11, 2011
NEXT FINANCIAL GROUP, INC.
September 30, 2002 - December 31, 2010
NEXT FINANCIAL GROUP, INC.
April 25, 2002 - January 6, 2003
FINANCIAL SECURITY ADVISORY INC
March 18, 2002 - November 8, 2002
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
May 19, 1997 - March 14, 2002
OSAIC WEALTH, INC.
March 22, 1995 - May 20, 1997
DAVENPORT-DUKES FINANCIAL SERVICES, INC.
November 7, 1994 - March 22, 1995
OSAIC WEALTH, INC.
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
RAUCH ADVISORY LLC
CRD#: 155681 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 241 |
| AUM (Assets Under Management) | $ 38,036,743 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 |
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.
