Douglas L. Maughan
Professional summary
Douglas Lawrence Maughan, CFP®, who also goes by Douglas Maughan, is a registered financial professional currently at PERSHING LLC located in Jersey City, New Jersey and PERSHING ADVISOR SOLUTIONS LLC located in Jersey City, New Jersey.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1995. Douglas has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Lawrence Maughan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2001 - Present
PERSHING LLC
Office #1: One Pershing Plaza - Jersey City Osj, Jersey City, NJ 07399June 2, 2022 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: One Pershing Plaza Pas Jersey City Osj, Jersey City, NJ 07399August 21, 2000 - January 19, 2001
CREDIT SUISSE CAPITAL LLC
July 18, 2000 - August 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
July 27, 1999 - May 30, 2001
DREYFUS BROKERAGE SERVICES, INC.
August 25, 1995 - July 17, 2000
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/5/2001)
(4/5/2001)
Exams
Series 52TO
Date: 7/28/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/7/1997
General Securities Sales Supervisor Examination (Options Module & General Module)BOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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