Douglas J. Busch
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 James Busch was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 9 firms and has passed the Series 63, Series 55 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
August 22, 2011 - July 25, 2012
COASTAL TRADE SECURITIES, LLC
January 2, 2008 - April 20, 2010
ECHOTRADE LLC
May 23, 2007 - November 6, 2007
SPECTRUM TRADING, LLC
April 13, 2006 - August 11, 2006
ECHOTRADE LLC
April 1, 2003 - May 21, 2003
SCHONFELD SECURITIES, LLC
September 11, 2000 - January 9, 2001
GILFORD SECURITIES INCORPORATED
August 25, 2000 - September 13, 2000
CITICORP INVESTMENT SERVICES
April 25, 2000 - September 6, 2000
SANDGRAIN SECURITIES LLC
May 5, 1995 - June 2, 1997
D. H. BLAIR & CO., INC.
April 6, 1995 - May 18, 1995
CONTINENTAL BROKER-DEALER CORP.
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
Series 55
Date: 7/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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