Douglas R. Mcpherson
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 Ross Mcpherson, who also goes by Doug Mcpherson, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1971. Douglas had worked at 7 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2009 - October 18, 2016
XML SECURITIES
March 28, 2007 - April 27, 2009
CORNERSTONE INSTITUTIONAL INVESTORS, INC.
December 13, 2000 - March 16, 2007
FSC SECURITIES CORPORATION
March 29, 1993 - December 13, 2000
COMMONWEALTH FINANCIAL NETWORK
August 29, 1986 - January 7, 1993
SUMMIT EQUITIES, INC.
December 4, 1984 - June 22, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 18, 1984 - March 22, 2007
MCPHERSON ENTERPRISES LIMITED
November 1, 1983 - January 7, 1993
SUMMIT EQUITIES, INC.
April 1, 1971 - June 22, 1990
LINCOLN FINANCIAL DISTRIBUTORS, 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: 3/24/1971
Registered Representative ExaminationCurrent Firm
XML SECURITIES
CRD#: 145589 / SEC#: 801-68535, 8-67776
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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