Douglas R. Kinney
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 Richard Kinney was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, 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
October 16, 2023 - January 5, 2026
BLUEROCK CAPITAL MARKETS LLC
May 19, 2016 - January 6, 2021
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
November 26, 2012 - May 13, 2016
TCG SECURITIES, L.L.C.
July 6, 2010 - November 28, 2012
GREENHILL & CO., LLC
December 18, 2000 - June 10, 2010
CREDIT SUISSE SECURITIES (USA) LLC
March 6, 2000 - December 18, 2000
PERSHING LLC
November 18, 1996 - February 29, 2000
HEITMAN SECURITIES LLC
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 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
