Douglas Cook
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 Cook, who also goes by Douglas E Cook, Douglas Eugene Cook, 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 65, Series 7TO, SIE, Series 6 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
April 2, 2021 - May 12, 2021
DAVINCI CAPITAL MANAGEMENT, INC.
July 9, 2015 - April 4, 2017
ADP BROKER-DEALER, INC.
November 29, 2006 - December 7, 2006
OGILVIE SECURITY ADVISORS CORPORATION
February 10, 2004 - December 9, 2004
WINSLOW, EVANS & CROCKER, INC.
March 30, 2001 - August 14, 2002
GOLDK INVESTMENT SERVICES, INC
June 12, 1997 - January 19, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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 7TO
Date: 4/2/2021
General Securities Representative ExaminationCurrent Firm
DAVINCI CAPITAL MANAGEMENT, INC.
CRD#: 46897 / SEC#: 801-56514, 8-51580
Contact information
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 85 |
| AUM (Assets Under Management) | $ 40,216,551 |
Disclosures
| Regulatory Event | 2 |
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.
