DB
Douglas E. Bermudez
WELLTH ADVISORY SERVICES
Palos Verdes, CA 90275
Some features on this profile are disabled
CRD#: 2613381
DB
Professional summary
Douglas Eduardo Bermudez, who also goes by Douglas Eduardo Bermudez Jr, is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Palos Verdes, California and LPL FINANCIAL LLC located in Palos Verdes, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Eduardo Bermudez Jr
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. 6/7/2019 - Strategic Retirement Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 7/11/2019 - Bermudez Hall Retirement Group - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 06/20/2019 - 1 Hours Per Month During Securities Trading. 3. 12/18/2019 - FlexMatch - Not Investment Related - At Reported Business Location(s) - Other-Student Loan Repayment Program - Started 09/01/2019 - 5 Hours Per Month During Securities Trading - Sales Person for FlexMatch. 4. 7/24/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 11/22/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 5. 11/04/2022 - Pretekt LLC - Not Investment Related - At Reported Business Location(s) - Other - Healthcare Consulting, Non-Fiduciary Role - Managing Director, Point of Sales - Start Date - 10/01/2022 - 10 Hours Per Month/5 Hours During Securities Trading 6. 12/05/2024 - Independent Insurance Agent - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 1 hour per month/ during trading 7. 12/24/2024 - WELLth Advisory Services, LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 120 hours per month/ 40 hours during trading - I provide investment advisory services through WELLth Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 01/15/2025- SRP Ventures V, LLC- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Reported Business Location(s)- Start date 11/12/2024- 1 Hour Per Month 9.04/29/2025 - WELLth Advisory Services, LLC - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - 50 Hrs/Mth - 40 Hrs During Trading - Start Date:12/19/2024
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Eduardo Bermudez'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®
NoneExperience
Current
June 28, 2024 - Present
WELLTH ADVISORY SERVICES, LLC
Office #1: 500 Silver Spur Road Suite 121, Palos Verdes, CA 90275RIA
CRD#: 330537
Palos Verdes, CA
Current
June 7, 2019 - Present
LPL FINANCIAL LLC
Office #1: 500 Silver Spur Rd Ste 121, Palos Verdes, CA 90275RIA
BD
CRD#: 6413
PALOS VERDES, CA
Past
June 7, 2019 - July 4, 2024
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Palos Verdes, CA
Past
November 14, 2012 - June 12, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
October 10, 2012 - June 12, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROLLING HILLS ESTATES, CA
Past
January 25, 2010 - October 1, 2012
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
RIA
CRD#: 35419
TORRANCE, CA
Past
January 22, 2010 - October 1, 2012
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
BD
CRD#: 35419
TORRANCE, CA
Past
July 16, 2007 - December 31, 2009
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
BD
CRD#: 41936
TORRANCE, CA
Past
April 5, 2002 - July 23, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WOODLANDS HILLS, CA
Past
October 1, 1999 - September 25, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 15, 1998 - June 16, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
November 4, 1997 - October 21, 1998
ONE ORCHARD EQUITIES, INC.
BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
Registered Investment Advisory firm - (4/26/2024 Approved)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.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
California(6/7/2019)
IAR
California(6/28/2024)
RR
New York(6/7/2019)
RR
South Carolina(6/7/2019)
RR
Texas(6/7/2019)
IAR
Texas(6/28/2024)
IAR
Utah(7/18/2024)
RR
Wisconsin(6/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
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Contact information
Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,338 |
| AUM (Assets Under Management) | $ 23,574,040,155 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WELLTH ADVISORY SERVICES, LLC
CRD#: 330537Palos Verdes, CA 90275TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
