Douglas A. Ummel
WELLINGTON INVESTMENT ADVISORS
Bloomington, IN 47408
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CRD#: 3052458
Professional summary
Douglas Alan Ummel, CFP®, who also goes by Archie Ummel, is a registered financial advisor currently at WELLINGTON INVESTMENT ADVISORS located in Bloomington, Indiana and PRIVATE CLIENT SERVICES, LLC located in Columbus, Indiana.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Douglas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Archie Ummel
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.
Wellington Investment Advisors 121 E 6th St Ste 2 Bloomington IN 47408. 160 hrs/month. Investment Advisory Services. Rebecca L Kraft Trust. 121 E 6th St, Suite 2, Bloomington, IN 47408. Co trustee of a relative's testamentary trust. 1 hour/mo; 0 during trading hours. Trinity Reformed Church. 2401 S Endwright Road, Bloomington, IN 47403. Chairman Deacon's Board. 4 hours/mo; 0 during trading hours. Strategic Wealth Solutions. 121 E 6th St, Suite 2, Bloomington, IN 47408. S Corp for business & tax purposes. President. 40-50 hrs/mo; 40-50 during trading hrs. Hart Enterprises. 8218 W John Williams Ln, Bloomington, IN 47403. Short term rental/Airbnb cohosting and Management. My wife's business, I am helping out with communication as well as bookkeeping. Overseeing books, finances. 8 hrs/mo; 8 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Alan Ummel'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: 2005
Experience
Current
August 16, 2016 - Present
WELLINGTON INVESTMENT ADVISORS
Office #1: 121 E. 6th Street Suite 2, Bloomington, IN 47408RIA
CRD#: 283853
Bloomington, IN
Current
September 1, 2016 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 500 Franklin St, Columbus, IN 47201Office #2: 121 E 6th Street Suite 2, Bloomington, IN 47408RIA
BD
CRD#: 120222
Columbus, IN
Past
January 21, 2011 - September 2, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BLOOMINGTON, IN
Past
January 21, 2011 - September 2, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BLOOMINGTON, IN
Past
January 2, 2009 - January 24, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
BLOOMINGTON, IN
Past
March 31, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
BLOOMINGTON, IN
Past
September 18, 2003 - January 24, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BLOOMINGTON, IN
Past
December 16, 2002 - September 10, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BRENTWOOD, TN
Past
December 8, 1998 - September 10, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 14, 1998 - January 21, 2000
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
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".
WI
WELLINGTON INVESTMENT ADVISORS
BULLOCK WEALTH MANAGEMENT GROUP INC. | WELLINGTON INVESTMENT ADVISORS
CRD#: 283853 / SEC#: 801-121578
RIA
Registered Investment Advisory firm - (6/23/2021 Approved)Florida
Registered Investment Advisory firm - (6/25/2021 Terminated)Indiana
Registered Investment Advisory firm - (6/29/2021 Terminated)Michigan
Registered Investment Advisory firm - (6/25/2021 Terminated)South Carolina
Registered Investment Advisory firm - (6/25/2021 Terminated)Tennessee
Registered Investment Advisory firm - (6/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Indiana(8/16/2016)
RR
Indiana(9/1/2016)
RR
Massachusetts(9/1/2016)
RR
Pennsylvania(9/1/2016)
RR
Tennessee(9/1/2016)
RR
Texas(4/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WELLINGTON INVESTMENT ADVISORS
BULLOCK WEALTH MANAGEMENT GROUP INC. | WELLINGTON INVESTMENT ADVISORS
CRD#: 283853 / SEC#: 801-121578
RIA
Registered Investment Advisory firm - (6/23/2021 Approved)Florida
Registered Investment Advisory firm - (6/25/2021 Terminated)Indiana
Registered Investment Advisory firm - (6/29/2021 Terminated)Michigan
Registered Investment Advisory firm - (6/25/2021 Terminated)South Carolina
Registered Investment Advisory firm - (6/25/2021 Terminated)Tennessee
Registered Investment Advisory firm - (6/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
121 E. 6th Street Suite 2, Bloomington, IN 47408
Mailing Address
Phone number
(812) 333-0874
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 984 |
| AUM (Assets Under Management) | $ 233,429,000 |
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.
