Douglas F. Cmelik
Professional summary
Douglas Frank Cmelik was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Douglas had worked at 4 firms, which includes NDX TRADING INC., AMERITAS INVESTMENT COMPANY LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2012 - October 4, 2012
NDX TRADING, INC.
March 24, 2011 - May 10, 2011
AMERITAS INVESTMENT COMPANY, LLC
December 31, 1997 - March 25, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
February 20, 1997 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 20, 1997 - March 25, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NDX TRADING, INC.
CRD#: 39940 / SEC#: , 8-48905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NDX HOLDINGS, INC. | SHAREHOLDER | |
| THOMPSON, CHAD MICHAEL | PRESIDENT/CEO/FINOP/CCO/MUNICIPAL SECURITIES PRINCIPAL | 4116364 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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