Douglas J. Robbins
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 Jay Robbins was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1969. Douglas had worked at 12 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2000 - August 10, 2021
CARLSON INVESTMENTS
November 17, 1992 - March 23, 2000
WILKINSON BOYD CAPITAL MARKETS, INC
May 4, 1992 - October 7, 1992
FAIRFIELD RESEARCH SECURITIES CORPORATION
March 24, 1992 - April 3, 1992
KMU SECURITIES CORPORATION
February 4, 1992 - March 26, 1992
RINFRET SECURITIES, INC.
July 31, 1990 - October 31, 1991
R.C. GOVERNMENT SECURITIES, INC.
May 4, 1987 - June 28, 1990
UBS SECURITIES LLC
August 28, 1986 - April 24, 1987
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1985 - August 4, 1986
CHASE SECURITIES, INC.
May 24, 1978 - July 19, 1985
PERSHING LLC
December 24, 1974 - April 27, 1978
A. G. BECKER INCORPORATED
October 10, 1969 - November 25, 1975
A.G. BECKER & CO.
Primary Firm SEC Registration
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
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: 10/2/1969
Registered Representative ExaminationSeries 40
Date: 5/24/1971
Registered Principal ExaminationCurrent Firm
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 901 |
| AUM (Assets Under Management) | $ 694,630,096 |
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.
