Douglas A. Mathes
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 Alfred Mathes, who also goes by Doug Mathes, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1969. Douglas had worked at 14 firms and has passed the Series 63, Series 7, Series 1, Series 4 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
April 20, 1992 - December 13, 1993
SECURITIES AMERICA, INC.
January 1, 1991 - July 23, 1991
OAK TREE SECURITIES, INC.
August 11, 1989 - December 31, 1990
E.F. DALY FINANCIAL GROUP
May 13, 1989 - September 9, 1989
KAVANAUGH SECURITIES, INC.
November 3, 1988 - February 6, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 21, 1987 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 14, 1985 - May 18, 1988
CALIFORNIA PLANNERS NETWORK, INC.
October 30, 1984 - April 15, 1985
FIRST AFFILIATED SECURITIES, INC.
March 23, 1981 - September 4, 1984
FINANCIAL PLANNERS EQUITY CORPORATION
July 2, 1980 - March 17, 1981
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 26, 1978 - September 30, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 29, 1976 - November 21, 1976
PUTNAM FUND DISTRIBUTORS, INC.
November 24, 1969 - October 27, 1975
INDUSTRY SAVINGS PLANS, INC.
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: 11/17/1969
Registered Representative ExaminationSeries 00
Date: 8/23/1974
General Securities Principal ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
