Doug J. Ireland
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.
Doug John Ireland, who also goes by Douglas John Ireland, was a registered financial professional .
Doug is a previously registered financial professional and started their career in finance in 1996. Doug had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2019 - May 22, 2026
WEDBUSH SECURITIES INC.
February 6, 2019 - May 22, 2026
WEDBUSH SECURITIES INC.
November 27, 2018 - February 7, 2019
MML INVESTORS SERVICES, LLC
November 6, 2018 - February 7, 2019
MML INVESTORS SERVICES, LLC
March 14, 2014 - October 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
March 14, 2014 - October 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 2012 - January 15, 2014
STRATEGIC ADVISERS LLC
April 10, 2012 - January 14, 2014
FIDELITY BROKERAGE SERVICES LLC
June 1, 2009 - March 27, 2012
MORGAN STANLEY
June 1, 2009 - March 27, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 14, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 8, 1997 - July 21, 2006
CITIGROUP GLOBAL MARKETS INC.
March 26, 1996 - July 21, 2006
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 99TO
Date: 2/16/2023
Operations Professional ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 10/28/2024 | ||
| 04/26/2024 |
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.
