Douglas Arthur Hendee
CFP®Professional Summary
Douglas Arthur Hendee, CFP® is a registered financial advisor currently at BRIGHTON SECURITIES CORP. located in Rochester, New York. Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Douglas has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Credentials
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
Contact Information
Main Address
1703 Monroe Avenue, Rochester, NY 14618Mailing Address
1703 Monroe Avenue, Rochester, NY 14618-1487Phone Number
(585) 473-3590Established
New York since 03/05/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
26SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,130AUM (Assets Under Management)
$930,950,057Disclosures
Regulatory Event
7Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/02/2026 | Cover Page | Report |
| 01/02/2025 | Cover Page | Report |
| 03/01/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
State Registrations and Notice Filings
(3/12/2010)
(3/12/2010)
(9/15/2015)
(5/1/2024)
(3/12/2010)
(3/12/2010)
(8/6/2024)
(5/18/2026)
(9/19/2025)
(7/8/2024)
(7/28/2011)
(3/25/2026)
(3/12/2010)
(6/12/2024)
(5/17/2022)
(6/1/2012)
(6/12/2024)
(3/12/2010)
(6/29/2017)
(6/2/2011)
(1/4/2021)
(7/10/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Douglas Arthur Hendee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Arthur Hendee's CRS (Customer Relationship Summary).
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