Douglas C. Sipkin
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 Craig Sipkin, who also goes by Douglas Craig Sipkin, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1999. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - March 22, 2016
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 29, 2010 - January 31, 2012
TICONDEROGA SECURITIES LLC
April 13, 2009 - January 28, 2010
PALI CAPITAL, INC.
July 1, 2003 - February 20, 2009
WELLS FARGO SECURITIES, LLC
October 14, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
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
Current Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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