Douglass W. List
Professional summary
Douglass William List, who also goes by Douglas William List, is a registered financial advisor currently at 31 MOORGATE, INC. located in Charlottesville, Virginia.
Douglass is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Douglass has worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglass William List's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2020 - Present
31 MOORGATE, INC.
Office #1: 401 E Market Street #13, Charlottesville, VA 22902April 12, 2018 - December 31, 2019
31MOORGATE, INC.
February 18, 2015 - December 31, 2017
31MOORGATE, INC.
September 8, 2005 - December 23, 2008
AFTON ADVISORS, LLC
January 14, 2005 - January 3, 2006
HBOC CAPITAL MARKETS, LLC
October 30, 2003 - December 13, 2004
AVANTAX ADVISORY SERVICES
October 1, 2003 - November 9, 2004
AVANTAX INVESTMENT SERVICES, INC.
May 17, 2002 - October 15, 2003
EQUITABLE ADVISORS, LLC
May 6, 2002 - October 15, 2003
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/22/2021)
Exams
Series 28
Date: 11/18/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
31 MOORGATE, INC.
CRD#: 309368 / SEC#:
Contact information
Red Flags
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Company Information
31 MOORGATE, INC.
CRD#: 309368Charlottesville, VA 22902TRUST BUT VERIFY
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