Anadean M. Douglas
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.
Anadean Marie Douglas was a registered financial professional .
Anadean is a previously registered financial professional and started their career in finance in 1997. Anadean had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 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, 2003 - July 18, 2012
AMHERST SECURITIES GROUP, L.P.
December 18, 2001 - March 21, 2002
AMERIPRISE ADVISOR SERVICES, INC.
December 6, 2000 - September 4, 2001
RUMSON CAPITAL, LLC
May 1, 2000 - September 7, 2000
NEXA SECURITIES
January 25, 1999 - April 17, 2000
LIGHTSPEED PROFESSIONAL TRADING LLC
February 4, 1997 - October 7, 1998
BLOCK TRADING INC.
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
Current Firm
AMHERST SECURITIES GROUP, L.P.
CRD#: 31141 / SEC#: , 8-45364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMHERST ASG HOLDINGS LLC | HOLDING COMPANY | |
| ASG GENERAL PARTNER, INC. | GENERAL PARTNER | |
| BARTKOWIAK, DARLA KERLEE | CHIEF COMPLIANCE OFFICER/DIRECTOR | 1065868 |
| BROWNE, KEVIN JAMES | SVP/FINOP | 1304129 |
| COALE, STEPHEN LORING | DIRECTOR | 1292536 |
| DOBSON, SEAN ALAN | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2009497 |
| MULLANEY, RICHARD RYAN JR | DIRECTOR | 1229830 |
| WALSH, JOSEPH NORTON III | PRESIDENT/DIRECTOR | 2804671 |
Red Flags
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