Theodore S. Douglas
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.
Theodore Seton Douglas, who also goes by Ted S Douglas Douglas, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 2001. Theodore had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2012 - September 23, 2015
PIONEER ADVISORS, LLC
June 25, 2002 - May 29, 2003
BNP PARIBAS SECURITIES CORP.
December 21, 2001 - June 3, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PIONEER ADVISORS, LLC
CRD#: 148958 / SEC#: 801-71602
Contact information
Red Flags
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