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DR

Douglas A. Ross

Some features on this profile are disabled
CRD#: 3090150
DR

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 A Ross was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
Name of outside business organization: Ginroc Inc. Investment related: N Address of business: Massillon, Ohio, 44646 Nature of business: Car Wash Position, title, association: President Start date of relationship: 11/2021 Number of hours devoted: 2 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , The business is a waterless car wash and detail service, on demand by appointment for my two youngest sons

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®
None

Experience

Past

January 5, 2022 - August 28, 2023

ATTICUS WEALTH MANAGEMENT

RIA
CRD#: 296949
Massillon, OH
Past

September 11, 2014 - January 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
AKRON, OH
Past

August 29, 2014 - January 6, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
AKRON, OH
Past

October 1, 2012 - September 10, 2014

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
AKRON, OH
Past

October 1, 2012 - September 10, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
AKRON, OH
Past

December 3, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
AKRON, OH
Past

November 28, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
AKRON, OH
Past

January 28, 2008 - November 14, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CANTON, OH
Past

January 24, 2008 - November 14, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CANTON, OH
Past

May 15, 2006 - January 28, 2008

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
BARBERTON, OH
Past

July 1, 2005 - January 28, 2008

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
BARBERTON, OH
Past

January 15, 2004 - July 1, 2005

FIRSTMERIT SECURITIES, INC.

BD
CRD#: 35057
AKRON, OH
Past

October 18, 2001 - January 12, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
AKRON, OH
Past

October 12, 2001 - January 12, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 9, 1998 - October 16, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
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".
AW
ATTICUS WEALTH MANAGEMENT
ATTICUS WEALTH MANAGEMENT | ATTICUS WEALTH MANAGEMENT, LLC

CRD#: 296949 / SEC#: 801-113424

RIA
Registered Investment Advisory firm - (6/21/2018 Approved)

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: 9/24/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/1998
General Securities Representative Examination

Current Firm

AW
ATTICUS WEALTH MANAGEMENT
ATTICUS WEALTH MANAGEMENT | ATTICUS WEALTH MANAGEMENT, LLC

CRD#: 296949 / SEC#: 801-113424

RIA
Registered Investment Advisory firm - (6/21/2018 Approved)
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Contact information

Main Address
11380 Prosperity Farms Road Suite 201, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(561) 425-9500
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ATTICUS WEALTH MANAGEMENT PART 2A (7/2/2025)

Regulatory assets under management

Total Number of Accounts748
AUM (Assets Under Management)$ 447,497,119

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/26/2022
Cover Page
Report

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

ATTICUS WEALTH MANAGEMENT

CRD#: 296949

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