Douglas E. Willingham
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 Eugene Willingham was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 8 firms and has passed the Series 63, Series 65, Series 66, SIE 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
December 5, 2017 - December 21, 2023
FORVIS MAZARS WEALTH ADVISORS, LLC
July 31, 2017 - December 4, 2017
CROSSMARK WEALTH MANAGEMENT, LLC
March 6, 2014 - December 4, 2017
CROSSMARK DISTRIBUTORS, INC.
January 4, 2013 - December 4, 2017
CROSSMARK GLOBAL INVESTMENTS, INC.
March 19, 2009 - December 31, 2012
CAPSTONE FINANCIAL SOLUTIONS, LLC
July 11, 2006 - March 10, 2009
CAPSTONE FINANCIAL SOLUTIONS, LLC
March 3, 2003 - September 2, 2003
STATE FARM VP MANAGEMENT CORP.
July 20, 2001 - January 11, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 4, 2000 - January 11, 2003
IDS LIFE INSURANCE COMPANY
February 4, 2000 - January 11, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
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
FORVIS MAZARS WEALTH ADVISORS, LLC
CRD#: 110905 / SEC#: 801-56928
Contact information
SEC notice filing (41 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,227 |
| AUM (Assets Under Management) | $ 9,751,986,659 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 09/18/2024 | ||
| 01/23/2024 | ||
| 11/21/2022 |
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.
