Andrew S. Douglass
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.
Andrew Scott Douglass, who also goes by Andrew Douglass, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 7 firms and has passed the Series 52TO, SIE, Series 3, Series 21, Series 25, Series 7, Series 14, Series 4, Series 24 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2019 - March 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 11, 2019 - March 31, 2023
RAYMOND JAMES & ASSOCIATES, INC.
March 1, 2016 - January 31, 2019
UBS FINANCIAL SERVICES INC.
August 20, 2008 - May 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2007 - May 5, 2008
VDM CAPITAL MARKETS, LLC
May 21, 2007 - May 5, 2008
VDM TRADING, LLC
March 10, 2000 - May 15, 2007
LABRANCHE & CO. LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 21
Date: 4/20/2001
NYSE Front Line Specialist ClerkSeries 25
Date: 4/14/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 1/25/2006
Compliance Official Specialist ExamCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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