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DW

Douglas Wynn

ARES MANAGEMENT CAPITAL MARKETS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2579989
DW

Professional summary

Douglas Wynn, who also goes by Doug L Wynn, Douglas Lawrence Wynn, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Dallas, Texas.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1995. Douglas has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug L Wynn | Douglas Lawrence Wynn

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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

January 2, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 2601 Olive Street Suite 2150, Dallas, TX 75201
BD
CRD#: 166219
Dallas, TX
Past

June 26, 2024 - January 2, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
Dallas, TX
Past

October 4, 2019 - June 12, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
FRISCO, TX
Past

October 4, 2019 - June 12, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
FRISCO, TX
Past

November 9, 2016 - February 7, 2019

MORGAN STANLEY

RIA
CRD#: 149777
DALLAS, TX
Past

November 9, 2016 - February 7, 2019

MORGAN STANLEY

BD
CRD#: 149777
DALLAS, TX
Past

August 6, 2013 - November 16, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
DALLAS, TX
Past

July 23, 2013 - November 16, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
DALLAS, TX
Past

January 28, 2013 - May 8, 2013

LACERTE CAPITAL ADVISERS, LLC

RIA
CRD#: 144945
DALLAS, TX
Past

October 8, 2008 - December 31, 2008

BENNETT ROSS, INC.

BD
CRD#: 42850
FORT WORTH, TX
Past

January 16, 2008 - December 31, 2011

LACERTE CAPITAL ADVISERS, LLC

RIA
CRD#: 144945
FORT WORTH, TX
Past

August 20, 1999 - June 30, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
DENVER, CO
Past

August 20, 1999 - June 30, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 8, 1995 - August 27, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(1/2/2026)
RR
Arkansas
(1/2/2026)
RR
Colorado
(1/2/2026)
RR
Georgia
(1/2/2026)
RR
Louisiana
(1/2/2026)
RR
Mississippi
(1/2/2026)
RR
Oklahoma
(1/2/2026)
RR
Texas
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/5/2013
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/21/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/10/2001
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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.

Company Information

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Dallas, TX 75201

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