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DE

Douglas Emitte

DAE WEALTH MANAGEMENT
Roseville, CA
Some features on this profile are disabled
CRD#: 2594396
DE

Professional summary

Douglas Emitte, who also goes by Douglas Allen Emitee, Douglas Allen Emitte, is a registered financial advisor currently at DAE WEALTH MANAGEMENT located in Roseville, California.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Douglas Allen Emitee | Douglas Allen Emitte

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) - RIA

Click below to view Douglas Emitte'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

January 25, 2023 - Present

DAE WEALTH MANAGEMENT

RIA
CRD#: 324692
Roseville, CA
Past

June 24, 2022 - February 8, 2023

ONESOURCE WEALTH MANAGEMENT

RIA
CRD#: 319078
GRANITE BAY, CA
Past

September 28, 2017 - December 31, 2022

ONE SOURCE HEALTH & WEALTH MANAGEMENT

RIA
CRD#: 194511
GRANITE BAY, CA
Past

April 5, 2013 - May 30, 2018

PKS ADVISORY SERVICES, LLC

RIA
CRD#: 125648
ROSEVILLE, CA
Past

March 20, 2013 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ROSEVILLE, CA
Past

August 5, 2011 - March 22, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROSEVILLE, CA
Past

August 5, 2011 - March 22, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ROSEVILLE, CA
Past

June 1, 2009 - August 15, 2011

MORGAN STANLEY

RIA
CRD#: 149777
ROSEVILLE, CA
Past

June 1, 2009 - August 15, 2011

MORGAN STANLEY

BD
CRD#: 149777
ROSEVILLE, CA
Past

March 4, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ROSEVILLE, CA
Past

March 3, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ROSEVILLE, CA
Past

July 31, 2001 - March 9, 2009

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
ROSEVILLE, CA
Past

June 6, 2001 - March 9, 2009

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
ROSEVILLE, CA
Past

May 8, 1997 - June 11, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 26, 1997 - April 21, 1997

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

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
California
(1/25/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/3/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/3/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/1997
General Securities Representative Examination

Current Firm

DW
DAE WEALTH MANAGEMENT
DAE CAPITAL STRATEGIES LLC | DAE WEALTH MANAGEMENT

CRD#: 324692 / SEC#:

California
Registered Investment Advisory firm - (1/25/2023 Approved)
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Contact information

Main Address
Roseville, CA
Mailing Address
Phone number
(916) 765-0827
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts102
AUM (Assets Under Management)$ 20,690,572

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

DAE WEALTH MANAGEMENT

CRD#: 324692Roseville, CA

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