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Douglas William Finley

Douglas W. Finley

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CRD#: 3039094
Douglas William Finley

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 William Finley, CFP®, who also goes by Douglas Finley, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Core Areas of Focus

Estate & Generational Planning Issues
High Net Worth Client Needs
Investment Advice with Ongoing Management
Retirement Planning & Distribution Rules
Socially Responsible Investments
Tax Planning

Biography

Douglas Finley founder of Finley Wealth Advisors  "Early on in my career, I realized that financial salespeople were manufacturing complexity to confuse and manipulate investors. It has been my goal for over two decades to bring clarity to that unnecessary complexity. I have worked to shed light on the various compensation schemes of Wall Street and the insurance industry. Over the years I have constantly worked to refine my approach, even changing my own philosophy when the evidence warranted. There are many ways to approach investment management and financial planning. I believe that our firm offers one of the very best. We are, however, committed to continually seeking new ways to do a better job for our clients."

Question & Answer

What are your service offerings?
Retirement Planning
Estate Planning
Comprehensive Financial Planni...
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
No

Aliases

Douglas Finley

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Start date: 2002

Experience

Past

May 7, 2007 - March 9, 2026

FINLEY WEALTH ADVISORS

RIA
CRD#: 142776
ESTERO, FL
Past

February 7, 2006 - June 29, 2007

TRIAD ADVISORS LLC

RIA
CRD#: 25803
FT. MYERS, FL
Past

February 6, 2006 - December 31, 2010

TRIAD ADVISORS LLC

BD
CRD#: 25803
FT. MYERS, FL
Past

December 12, 2003 - March 1, 2006

HAISMAN WEALTH MANAGEMENT, INC.

RIA
CRD#: 108640
FORT MYERS, FL
Past

October 8, 2003 - February 24, 2006

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

August 2, 2002 - October 23, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
HUNTERSVILLE, NC
Past

August 2, 2002 - October 23, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 31, 2001 - August 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

April 28, 2000 - August 6, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 14, 1998 - May 3, 2000

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/30/2002
General Securities Principal Examination

Current Firm

FINLEY WEALTH ADVISORS
FINLEY WEALTH ADVISORS
FINLEY WEALTH ADVISORS | FINLEY WEALTH MANAGEMENT, LLC

CRD#: 142776 / SEC#: 801-131760

RIA
Registered Investment Advisory firm - (3/9/2026 Terminated)
Louisiana
Registered Investment Advisory firm - (3/9/2026 Termination Requested)
Texas
Registered Investment Advisory firm - (3/9/2026 Termination Requested)
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Contact information

Main Address
10600 Chevrolet Way Suite 101, Estero, FL 33928
Mailing Address
Phone number
(239) 267-7500
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 (5/1/2025)

Regulatory assets under management

Total Number of Accounts72
AUM (Assets Under Management)$ 119,512,876

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.

Company Information

FINLEY WEALTH ADVISORS

FINLEY WEALTH ADVISORS

CRD#: 142776

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Contact information

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