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Douglas Clark De Groote

Douglas C. De Groote

DE GROOTE FINANCIAL GROUP
Thousand Oaks, CA 91361
Some features on this profile are disabled
CRD#: 2839073
Douglas Clark De Groote

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Clark De Groote's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2010

Experience

Current

September 5, 2013 - Present

DE GROOTE FINANCIAL GROUP, LLC

Office #1: 3013 Willow Lane, Thousand Oaks, CA 91361
RIA
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
RR
Series 63
Date: 3/6/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/1997
General Securities Representative Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
9

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DE GROOTE FINANCIAL GROUP, LLC WRAP BROCHURE (3/13/2026)
DISCLOSURE BROCHURE FOR DE GROOTE FINANCIAL GROUP, LLC (3/13/2026)

Regulatory assets under management

Total Number of Accounts2,346
AUM (Assets Under Management)$ 1,215,942,608

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/17/2025
Cover Page
Report
07/25/2024
Cover Page
Report
04/02/2024
Cover Page
Report

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.

Company Information

DE GROOTE FINANCIAL GROUP, LLC

CRD#: 168178Thousand Oaks, CA 91361

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Contact information

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