Douglas B. Cartwright
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 Brent Cartwright was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1997. Douglas had worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2010 - May 8, 2012
TRICOR FINANCIAL, LLC
October 24, 2008 - June 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2008 - June 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2002 - November 3, 2008
WELLS FARGO INVESTMENTS, LLC
October 2, 2002 - November 3, 2008
WELLS FARGO INVESTMENTS, LLC
February 11, 1998 - October 7, 2002
MORGAN STANLEY DW INC.
July 11, 1997 - October 7, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRICOR FINANCIAL, LLC
CRD#: 142518 / SEC#: , 8-67473
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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