Douglas A. Rankin
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 Andrew Rankin was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1998. Douglas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2020 - January 7, 2022
SICART ASSOCIATES, LLC
June 18, 2015 - July 30, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 29, 2015 - July 30, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 5, 2006 - June 24, 2015
TOCQUEVILLE SECURITIES L.P.
August 25, 2003 - June 8, 2006
UST SECURITIES CORP.
March 14, 2000 - August 31, 2001
UST FINANCIAL SERVICES CORP.
October 29, 1998 - August 23, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SICART ASSOCIATES, LLC
CRD#: 285275 / SEC#: 801-108418
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
Current Firm
SICART ASSOCIATES, LLC
CRD#: 285275 / SEC#: 801-108418
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 213 |
| AUM (Assets Under Management) | $ 380,314,806 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 10/25/2024 | ||
| 12/20/2023 | ||
| 03/27/2023 |
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.
