Douglas L. Lish
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 Lyman Lish was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1971. Douglas had worked at 11 firms and has passed the Series 63, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2007 - June 2, 2014
CENTAURUS FINANCIAL, INC.
August 23, 2007 - May 30, 2014
CENTAURUS FINANCIAL, INC.
June 27, 2007 - July 23, 2007
WEDBUSH SECURITIES INC.
June 27, 2007 - July 23, 2007
WEDBUSH SECURITIES INC.
April 30, 2007 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
August 30, 2001 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
April 15, 1988 - April 10, 2002
ARAGON FINANCIAL SERVICES, INC.
August 16, 1984 - September 30, 1991
TITAN/VALUE EQUITIES GROUP, INC.
January 5, 1982 - August 21, 1984
LPL FINANCIAL LLC
May 4, 1977 - January 12, 1982
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 1977 - June 16, 1977
FREEMAN FINANCIAL SERVICES CORPORATION
December 23, 1975 - April 10, 1977
TOWER SQUARE SECURITIES, INC.
September 23, 1974 - November 17, 1975
FREEMAN FINANCIAL SERVICES CORPORATION
May 26, 1972 - September 24, 1974
JAMES G. FREEMAN & ASSOCIATES, INC.
September 10, 1971 - June 29, 1972
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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: 9/2/1971
Registered Representative ExaminationSeries 00
Date: 3/29/1973
General Securities Principal ExaminationCurrent Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
