Douglas A. Davis
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 A Davis was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1997. Douglas had worked at 6 firms and has passed the Series 63, Series 55 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
October 14, 2011 - March 6, 2012
ALTRUSHARE SECURITIES LLC
May 13, 2009 - May 23, 2011
CITIGROUP GLOBAL MARKETS INC.
August 13, 2008 - December 4, 2008
BLACKROCK CAPITAL MARKETS, LLC
October 25, 2007 - December 4, 2008
BLACKROCK INVESTMENTS, LLC
June 28, 2001 - October 12, 2006
FAM DISTRIBUTORS, INC.
March 19, 1997 - May 17, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/30/2008
Limited Representative-Equity Trader ExamCurrent Firm
ALTRUSHARE SECURITIES LLC
CRD#: 136392 / SEC#: , 8-67005
Contact information
Documents
Direct owners and executive officers
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.
