DB
Douglas J. Bauerband
G. DOUGLAS WEALTH MANAGEMENT
Toms River, NJ 08753
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CRD#: 2850269
DB
Professional summary
Douglas J Bauerband is a registered financial advisor currently at G. DOUGLAS WEALTH MANAGEMENT located in Toms River, New Jersey and SAN BLAS SECURITIES LLC located in Chicago, Illinois.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. ALPHA OMEGA AGENCY; INV RELATED; 1184 FISCHER BLVD, STE 1-D, TOMS RIVER, NJ 08753; PROPERTY AND CASUALTY SALES; OWNER; START 10/1980; 0 HOURS PER MONTH; 0HOURS DURING TRADING HOURS; SALES OF PROPERTY AND CASUALTY. 2. PINES VILLAGE (FORMERLY THE PINES AT WHITING); NOT INV RELATED; 509 RTE 530, WHITING, NJ 08753; NON-PROFIT SENIORCARE COMMUNITY; TRUSTEE/Finance Committee; START 09/1998; 16 HOURS PER year; 16 HOURS per year DURING SECURITIES TRADING HOURS. 3. DOUGLAS BAUERBAND; INV RELATED; 1184 FISCHER BLVD, STE 1-D, TOMS RIVER, NJ 08753; BOOK WRITING; AUTHOR; START 01/2016; 2 HOURS PER MONTH; NO HOURS DURING SECURITIES TRADING HOURS; AUTHOR OF THE FOLLOWING BOOKS: BUILD WEALTH LIKE A SHARK, RETIRE ABUNDANTLY, GIVING TRANSFORMS YOU AND RETIRE LIKE A SHARK. 4. TFS MORTGAGE; INV RELATED; 1184 FISCHER BLVD, STE 1-D, TOMS RIVER, NJ 08753; MORTGAGESS; REFEREE; START 01/2006; 1 HOUR PER MONTH; 1 HOUR DURING SECURITIES TRADING HOURS; REFEREE - REFER CLIENTS TO LICENSED MORTGAGE BROKER. 5. DBA G DOUGLAS FINANCIALGROUP; INV RELATED; 1184 FISCHER BLVD, STE 1-D, ROMS RIVER, NJ 08753; DBA NAME FOR INSURANCE; MANAGING MEMBER/OWNER; START 01/2005; 160 HOURS PER MONTH;160 HOURS DURING SECURITIES TRADING HOURS; 6. Douglas Bauerband, Sole Proprietor; Toms River, NJ; Not Investment Related; Estate Coordinator; Less than 5% of time spent; Started 11/2022. 7. San Blas Securities; Investment Related; Toms River, NJ; Registered Representative; Sale of Broker/Dealer Products; Started 05/2024; 64 hours spent per month during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas J Bauerband'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®
NoneExperience
Current
July 10, 2023 - Present
G. DOUGLAS WEALTH MANAGEMENT
Office #1: 1184 Fisher Blvd., Suite 1-d, Toms River, NJ 08753RIA
CRD#: 323256
Toms River, NJ
Current
May 16, 2024 - Present
SAN BLAS SECURITIES LLC
Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606BD
CRD#: 290605
CHICAGO, IL
Past
January 13, 2023 - July 17, 2023
GRADIENT SECURITIES, LLC
RIA
CRD#: 127701
Toms River, NJ
Past
January 3, 2023 - July 17, 2023
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
Toms River, NJ
Past
June 27, 2012 - December 31, 2022
WORLD INVESTMENTS, LLC
RIA
CRD#: 20626
TOMS RIVER, NJ
Past
June 27, 2012 - December 31, 2022
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
TOMS RIVER, NJ
Past
October 31, 2008 - June 28, 2012
OSAIC SERVICES, INC.
RIA
CRD#: 133763
TOMS RIVER, NJ
Past
October 31, 2008 - June 28, 2012
OSAIC SERVICES, INC.
BD
CRD#: 133763
TOMS RIVER, NJ
Past
February 19, 2008 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
TOMS RIVER, NJ
Past
December 9, 1998 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
TOMS RIVER, NJ
Past
October 1, 1997 - November 17, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
July 22, 1997 - October 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(10/21/2024)
RR
Georgia(10/10/2024)
RR
Montana(11/18/2024)
IAR
New Jersey(7/10/2023)
RR
New Jersey(5/22/2024)
RR
North Carolina(10/11/2024)
RR
Pennsylvania(10/15/2024)
RR
South Carolina(6/8/2025)
IAR
Texas(7/11/2023)
RR
Virginia(11/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GD
G. DOUGLAS WEALTH MANAGEMENT
BAUERBAND, DOUGLAS J | G. DOUGLAS WEALTH MANAGEMENT
CRD#: 323256 / SEC#:
New Jersey
Registered Investment Advisory firm - (7/10/2023 Approved)Texas
Registered Investment Advisory firm - (7/11/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1184 Fisher Blvd., Suite 1-d, Toms River, NJ 08753
Mailing Address
Phone number
(732) 288-1184
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 230 |
| AUM (Assets Under Management) | $ 31,780,869 |
Red Flags
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Company Information
G. DOUGLAS WEALTH MANAGEMENT
CRD#: 323256Toms River, NJ 08753TRUST BUT VERIFY
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Contact information
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