DH
Douglas A. Hendee
BRIGHTON SECURITIES
Rochester, NY 14618-1487
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CRD#: 3203666
DH
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
June 12, 2024 - Present
BRIGHTON SECURITIES CORP.
Office #1: 1703 Monroe Avenue, Rochester, NY 14618-1487RIA
BD
CRD#: 3875
Rochester, NY
Current
March 12, 2010 - Present
BRIGHTON SECURITIES CORP.
Office #1: 1703 Monroe Avenue, Rochester, NY 14618-1487RIA
BD
CRD#: 3875
Rochester, NY
Past
June 1, 2009 - April 8, 2010
MORGAN STANLEY
BD
CRD#: 149777
ROCHESTER, NY
Past
April 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ROCHESTER, NY
Past
December 20, 2002 - April 19, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ROCHESTER, NY
Past
June 4, 1999 - April 19, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/12/2010)
RR
California(3/12/2010)
RR
Colorado(9/15/2015)
RR
Connecticut(5/1/2024)
RR
Florida(3/12/2010)
RR
Georgia(3/12/2010)
RR
Illinois(8/6/2024)
RR
Kansas(9/19/2025)
RR
Maryland(7/8/2024)
RR
Massachusetts(7/28/2011)
RR
New York(3/12/2010)
IAR
New York(6/12/2024)
RR
North Carolina(5/17/2022)
RR
Ohio(6/1/2012)
IAR
Ohio(6/12/2024)
RR
Pennsylvania(3/12/2010)
RR
South Carolina(6/29/2017)
RR
Tennessee(6/2/2011)
RR
Texas(1/4/2021)
RR
Washington(7/10/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1703 Monroe Avenue, Rochester, NY 14618
Mailing Address
1703 Monroe Avenue, Rochester, NY 14618-1487
Phone number
(585) 473-3590
Established
New York since 03/05/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
SEC notice filing (21 States and Territories)
FINRA licenses (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/02/2026 | ||
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
Company Information
BRIGHTON SECURITIES CORP.
CRD#: 3875Rochester, NY 14618-1487TRUST BUT VERIFY
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