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DW

Douglas C. Wicks

Some features on this profile are disabled
CRD#: 4157068
DW

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 Carl Wicks was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 14, 2005 - January 31, 2019

KINECTA FINANCIAL & INSURANCE SERVICES

BD
CRD#: 136597
WESTLAKE VILLAGE, CA
Past

December 5, 2001 - January 22, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
WESTLAKE VILLAGE, CA
Past

May 26, 2000 - November 14, 2001

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/2000
General Securities Principal Examination

Current Firm

KF
KINECTA FINANCIAL & INSURANCE SERVICES
KINECTA FINANCIAL & INSURANCE SERVICES | KINECTA WEALTH MANAGEMENT | KINECTA FINANCIAL & INSURANCE SERVICES, LLC

CRD#: 136597 / SEC#: , 8-67028

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
21440 Victory Boulevard, Woodland Hills, CA 91367
Mailing Address
21440 Victory Boulevard, Woodland Hills, CA 91367
Phone number
(310) 643-3273
Established
California since 04/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KINECTA FINANCIAL MANAGEMENT CO, LLCOWNER
ELIA, GREGORY BAUDENBACHCFO/FINOP/CEO/CCO/AMLCO5586060

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.

Company Information

KINECTA FINANCIAL & INSURANCE SERVICES

CRD#: 136597

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