DS
Douglas W. Sockman
CLEVELAND WEALTH
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 2884058
DS
Professional summary
Douglas William Sockman, CFP®, ChFC®, CLU® is a registered financial advisor currently at CLEVELAND WEALTH, LLC located in Cleveland, Ohio.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 6 firms and has passed the Series 63, SIE and Series 7 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.
NAME:DOUGLAS SOCKMAN, INV REL: Y ADDR: 2012 W. 25TH STREET, SUITE 900 CLEVELAND OH 44113 NATURE: LIFE, LTC, DI, FIXED ANNUITIES POSITION: SALES START: 2004 NO HR/MO: 8 NO HR/MO DUR TRADING: 8 (2)NAME: DOUGLAS W SOCKMAN INV REL: Y ADDR: 2967 WATERFALL WAY, WESTLAKE OH 44145 NATURE: RENTAL PROPERTY POSITION: OWNER START: 2000 NO HR/MO: 4 NO HR/MO DUR TRADING: 2 DOUGLAS SOCKMAN IS THE OWNER OF CW INSURANCE, LLC AS OF DECEMBER 2018. MR. SOCKMAN SPENDS 5 HOURS PER MONTH ON THESE ACTIVITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas William Sockman'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®
CFP®
Start date: 2000
Experience
Current
April 26, 2016 - Present
CLEVELAND WEALTH, LLC
Office #1: 600 Superior Avenue East Suite 2550, Cleveland, OH 44114RIA
CRD#: 282196
Cleveland, OH
Past
April 17, 2003 - June 30, 2003
SKYLIGHT FINANCIAL SERVICES LLC
RIA
CRD#: 121037
CLEVELAND, OH
Past
February 25, 2003 - April 26, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CLEVELAND, OH
Past
February 6, 2003 - April 26, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CLEVELAND, OH
Past
July 27, 1999 - December 20, 2002
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
SOUTHFIELD, MI
Past
June 23, 1999 - July 8, 1999
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
Past
December 11, 1997 - June 25, 1999
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
June 25, 1997 - December 16, 1997
GOLDK INVESTMENT SERVICES, INC
BD
CRD#: 15514
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CLEVELAND WEALTH, LLC
CLEVELAND WEALTH, LLC | SGS CLEVELANDWEALTH, LLC
CRD#: 282196 / SEC#: 801-117776
RIA
Registered Investment Advisory firm - (12/13/2019 Approved)Arizona
Registered Investment Advisory firm - (12/24/2019 Terminated)California
Registered Investment Advisory firm - (1/23/2020 Terminated)Florida
Registered Investment Advisory firm - (12/24/2019 Terminated)Illinois
Registered Investment Advisory firm - (12/10/2019 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/24/2019 Terminated)Michigan
Registered Investment Advisory firm - (12/26/2019 Terminated)New York
Registered Investment Advisory firm - (12/24/2019 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/24/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (12/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/24/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Ohio(4/26/2016)
IAR
Texas(5/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CLEVELAND WEALTH, LLC
CLEVELAND WEALTH, LLC | SGS CLEVELANDWEALTH, LLC
CRD#: 282196 / SEC#: 801-117776
RIA
Registered Investment Advisory firm - (12/13/2019 Approved)Arizona
Registered Investment Advisory firm - (12/24/2019 Terminated)California
Registered Investment Advisory firm - (1/23/2020 Terminated)Florida
Registered Investment Advisory firm - (12/24/2019 Terminated)Illinois
Registered Investment Advisory firm - (12/10/2019 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/24/2019 Terminated)Michigan
Registered Investment Advisory firm - (12/26/2019 Terminated)New York
Registered Investment Advisory firm - (12/24/2019 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/24/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (12/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/24/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 Superior Avenue East Suite 2550, Cleveland, OH 44114
Mailing Address
Phone number
(216) 810-5900
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,284 |
| AUM (Assets Under Management) | $ 1,012,082,624 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
