Douglas C. De Groote
DE GROOTE FINANCIAL GROUP
Thousand Oaks, CA 91361
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CRD#: 2839073
Professional summary
Douglas Clark De Groote, CFP®, who also goes by Douglas Clark Degroote, is a registered financial advisor currently at DE GROOTE FINANCIAL GROUP, LLC located in Thousand Oaks, California.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Insurance Planning
Tax Planning
Retirement Income Management
Estate Planning
Business Succession Planning
Life Transitions
Social Security Planning
Investment Planning
Retirement Planning
Employee and Employer Plan Ben...
Long-term Care
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Douglas Clark Degroote
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
DE GROOTE FINANCIAL GROUP IS AN IA FIRM REGISTERED WITH THE SEC AND NOTICED FILED IN CA. DE GROOTE FINANCIAL GROUP PROVIDES FINANCIAL PLANNING AND RELATED ADVICE FOR A FLAT FEE. THIRD PARTY MONEY MANAGERS MAY USE ALTERNATIVE INVESTMENT STRATEGIES AND HEDGE FUNDS. I WILL NOT BE COMPENSATED FOR PERFORMANCE. START DATE 9/13/2013. NSI, LLC; INVESTMENT-RELATED; OWNERSHIP INTEREST & MAY RECEIVE PRO-RATA DISTRIBUTIONS FROM ANY PROFITS GENERATED; JUNE 2025; 0 HOURS/MONTH; 0 HOURS DURING SECURITIES TRADING HOURS. Freedom Square; not investment-related; Oakbrook Terrace, IL; web-based platform for American made goods and services along with a news aggregation, blogging, vlogging etc.; CFO; February 2021; 20 hours per month; 0 during securities trading hours; CFO - marketing and raising capital LUNCH WITH 4 INTERESTING PEOPLE; NOT INVESTMENT-RELATED; NO ADDRESS; PHONE APPLICATION; CHIEF EXECUTIVE OFFICER; START 2021; APPROXIMATELY 5 HOURS PER MONTH; APPROXIMATELY 0 HOURS DURING TRADING HOURS; FACILITATES MEET-UP EVENTS AMONG ADVISORS.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Clark De Groote's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2010
Experience
Current
September 5, 2013 - Present
DE GROOTE FINANCIAL GROUP, LLC
Office #1: 3013 Willow Lane, Thousand Oaks, CA 91361RIA
CRD#: 168178
Thousand Oaks, CA
Past
September 20, 2006 - September 13, 2013
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
WESTLAKE VILLAGE, CA
Past
September 20, 2006 - December 31, 2016
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
WESTLAKE VILLAGE, CA
Past
September 15, 2006 - December 31, 2016
GIRARD SECURITIES, INC.
BD
CRD#: 18697
WESTLAKE VILLAGE, CA
Past
January 20, 1998 - October 5, 2006
CROWELL, WEEDON & CO.
RIA
CRD#: 193
WESTLAKE VILLAGE, CA
Past
February 19, 1997 - October 5, 2006
CROWELL, WEEDON & CO.
BD
CRD#: 193
WESTLAKE VILLAGE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DG
DE GROOTE FINANCIAL GROUP, LLC
ABERNAND CAPITAL ADVISORS, LLC | DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
RIA
Registered Investment Advisory firm - (7/25/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(9/5/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DG
DE GROOTE FINANCIAL GROUP, LLC
ABERNAND CAPITAL ADVISORS, LLC | DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178 / SEC#: 801-78358
RIA
Registered Investment Advisory firm - (7/25/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3013 Willow Lane, Thousand Oaks, CA 91361
Mailing Address
Phone number
(805) 230-0111
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,093 |
| AUM (Assets Under Management) | $ 750,623,008 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/17/2025 | ||
| 07/25/2024 | ||
| 04/02/2024 |
Red Flags
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Company Information
DE GROOTE FINANCIAL GROUP, LLC
CRD#: 168178Thousand Oaks, CA 91361TRUST BUT VERIFY
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Contact information
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