Douglas R. Aspinwall
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 Reid Aspinwall JR was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1997. Douglas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2015 - October 21, 2015
CHELSEA FINANCIAL SERVICES
December 9, 2010 - August 21, 2014
HORNOR, TOWNSEND & KENT, LLC
December 3, 2002 - December 17, 2010
EQUITABLE ADVISORS, LLC
March 26, 2002 - August 8, 2002
JESUP & LAMONT SECURITIES CORP
September 15, 2000 - April 25, 2002
KC MAY SECURITIES CORP.
August 31, 1998 - August 31, 2000
RICHMARK CAPITAL CORPORATION
October 3, 1997 - August 21, 1998
LLOYD WADE SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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