Douglas W. Finley

FINLEY WEALTH ADVISORS

Estero, FL 33928

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CRD#: 3039094

Professional summary

Douglas William Finley, CFP®, who also goes by Douglas Finley, is a registered financial advisor currently at FINLEY WEALTH ADVISORS located in Estero, Florida.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Douglas has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

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

Do you have an area of expertise or specialization?

Estate & Generational Planning...

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Planning & Distribu...

Socially Responsible Investmen...

Tax Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Douglas William Finley's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2002

Experience

Current

May 7, 2007 - Present

FINLEY WEALTH ADVISORS

Office #1: 10600 Chevrolet Way Suite 101, Estero, FL 33928

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

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

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

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

CRD#: 7691

NEW YORK, NY

Past

May 14, 1998 - May 3, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

FINLEY WEALTH ADVISORS

FINLEY WEALTH ADVISORS | FINLEY WEALTH MANAGEMENT, LLC

CRD#: 142776 / SEC#: 801-131760

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Louisiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Texas

Registered Investment Advisory firm - (5/22/2025 Conditional Restricted)

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

Texas
(1/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/2/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/11/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/2002

General Securities Principal Examination

Current Firm

FINLEY WEALTH ADVISORS

FINLEY WEALTH ADVISORS | FINLEY WEALTH MANAGEMENT, LLC

CRD#: 142776 / SEC#: 801-131760

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Louisiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Texas

Registered Investment Advisory firm - (5/22/2025 Conditional Restricted)

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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

SEC notice filing (3 States and Territories)

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 Accounts	72
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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Douglas W. Finley

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas William Finley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

HAISMAN WEALTH MANAGEMENT, INC.

SECURITIES SERVICE NETWORK, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

Primary Firm SEC Registration

FINLEY WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2001

Series 63

Date: 5/13/1998

Series 7

Date: 5/11/1998

Series 24

Date: 8/30/2002

Current Firm

FINLEY WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINLEY WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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