Thomas M. Douglass

DOUGLASS INVESTMENT GROUP

WICHITA, KS 67206

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CRD#: 3084341

Professional summary

Thomas Mark Douglass, CFP®, who also goes by Thomas M Douglass, is a registered financial advisor currently at DOUGLASS INVESTMENT GROUP located in Wichita, Kansas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas M Douglass

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.

(1)NAME OF BUSINESS: DOUGLASS HOLDINGS LLC ADDRESS: 2419 W TIMBERCREEK CT, WICHITA, KS, 67204, UNITED STATES ACTIVITY TYPE: RENTAL REAL ESTATE POSITION/TITLE: OWNER/PROPRIETOR INVESTMENT RELATED: YES START DATE: 04/08/2021 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 2-10 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0-1 DESCRIPTION OF DUTIES: SINGLE OWNER LLC (2)NAME OF BUSINESS: DOUGLASS INVESTMENT GROUP, LLC ADDRESS: 9412 E CENTRAL AVE, WICHITA, KS, 67206, UNITED STATES ACTIVITY TYPE: SUPPORT COMPANY - OWNER POSITION/TITLE: OFFICER - CEO INVESTMENT RELATED: NO START DATE: 04/24/2017 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 2-10 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 2-10 DESCRIPTION OF DUTIES: MANAGING PARTNER OF OUR PRACTICE OPERATES UNDER. (3) INSURANCE AGENT- INVESTMENT RELATED; WITCHIA, KANSAS, INSURANCE SALES, AGENT, DEVOTES NOT MORE THAN 30% OF AGENTS TIME DURING WORKING HRS/MO DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mark Douglass'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: 2009

Experience

Current

July 1, 2024 - Present

DOUGLASS INVESTMENT GROUP

Office #1: 9412 East Central Avenue, Wichita, KS 67206

RIA

CRD#: 7691

NEW YORK, NY

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".

DOUGLASS INVESTMENT GROUP

DOUGLASS INVESTMENT GROUP | DOUGLASS INVESTMENT GROUP LLC

CRD#: 331223 / SEC#: 801-130445

RIA

Registered Investment Advisory firm - (6/12/2024 Approved)

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

Kansas
(7/1/2024)

IAR

Texas
(7/9/2024)

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: 7/23/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/14/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/13/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

DOUGLASS INVESTMENT GROUP

DOUGLASS INVESTMENT GROUP | DOUGLASS INVESTMENT GROUP LLC

CRD#: 331223 / SEC#: 801-130445

RIA

Registered Investment Advisory firm - (6/12/2024 Approved)

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Contact information

Main Address

9412 East Central Avenue, Wichita, KS 67206

Mailing Address

Phone number

(316) 854-8495

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

DIG ADV 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	600
AUM (Assets Under Management)	$ 165,000,000

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.

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Advisor Monitoring

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Thomas M. Douglass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mark Douglass's CRS (Customer Relationship Summary).

Certified licenses

Experience

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PRUDENTIAL EQUITY GROUP, LLC

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DOUGLASS INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1998

Series 10

Date: 9/14/2004

Series 9

Date: 9/13/2004

Current Firm

DOUGLASS INVESTMENT GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DOUGLASS INVESTMENT GROUP

TRUST BUT VERIFY

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