Douglas A. Dailey
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 Allen Dailey, who also goes by Douglas A Dailey, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1997. Douglas had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - July 1, 2024
CHAMPLAIN VALLEY FINANCIAL SERVICES, LLC
February 14, 2014 - April 6, 2017
IBN FINANCIAL SERVICES, INC.
November 17, 2010 - October 25, 2013
LPL FINANCIAL LLC
July 1, 2003 - November 17, 2010
KESTRA INVESTMENT SERVICES, LLC
October 28, 2002 - July 7, 2003
SECURITIES AMERICA, INC.
February 7, 1999 - May 21, 2002
INVEST FINANCIAL CORPORATION
June 25, 1997 - May 29, 1998
METROPOLITAN LIFE INSURANCE COMPANY
June 25, 1997 - May 29, 1998
MSI FINANCIAL SERVICES, INC.
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
Current Firm
CHAMPLAIN VALLEY FINANCIAL SERVICES, LLC
CRD#: 286292 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 8,526,292 |
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.
