Douglas J. Lester
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 Joe Lester, who also goes by Doug J Lester, Douglas J Lester, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1974. Douglas had worked at 17 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - May 7, 2018
VERITY ASSET MANAGEMENT
March 6, 2009 - July 29, 2011
VERITY INVESTMENTS, INC.
March 6, 2009 - May 7, 2018
VERITY INVESTMENTS, INC.
July 11, 2007 - February 25, 2009
EQUITABLE ADVISORS, LLC
June 26, 2007 - February 25, 2009
EQUITABLE ADVISORS, LLC
October 6, 2005 - June 27, 2007
ON INVESTMENT MANAGEMENT CO
August 3, 2005 - June 27, 2007
THE O.N. EQUITY SALES COMPANY
August 24, 2004 - July 11, 2005
MSI FINANCIAL SERVICES, INC.
August 6, 2004 - July 11, 2005
METROPOLITAN LIFE INSURANCE COMPANY
August 6, 2004 - July 11, 2005
MSI FINANCIAL SERVICES, INC.
April 1, 2004 - August 24, 2004
PARK AVENUE SECURITIES LLC
December 31, 2000 - April 1, 2004
C.P. ADVISORY SERVICES
May 3, 1999 - August 24, 2004
PARK AVENUE SECURITIES LLC
January 4, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 28, 1988 - December 31, 1988
CADARET, GRANT & CO., INC.
December 1, 1986 - November 16, 1988
FOCUS SECURITIES, INC.
February 5, 1986 - December 15, 1986
WS GRIFFITH SECURITIES, INC.
March 29, 1984 - January 24, 1986
SENTRA SECURITIES CORPORATION
February 13, 1982 - May 2, 1989
PRUCO SECURITIES, LLC.
October 29, 1975 - May 2, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 7, 1974 - December 12, 1983
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
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
Series 1
Date: 12/10/1973
Registered Representative ExaminationCurrent Firm
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
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.
