Douglas E. Stone
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 Eugene Stone, who also goes by Douglas E Stone, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, 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
April 7, 2017 - December 31, 2024
PURSHE KAPLAN STERLING INVESTMENTS
May 12, 2011 - December 31, 2024
SEACREST WEALTH MANAGEMENT, LLC
March 27, 2009 - April 5, 2017
PURSHE KAPLAN STERLING INVESTMENTS
April 2, 2007 - April 2, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 2, 2009
MORGAN STANLEY & CO. LLC
April 23, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
December 20, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
July 10, 1996 - December 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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