Douglas Teel
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 Teel, who also goes by Doug Teel, Douglas Franklin Teel, 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, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2016 - December 31, 2017
WADDELL & REED
April 1, 2015 - January 7, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
July 1, 2014 - March 27, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
November 10, 2009 - June 9, 2010
VALIC FINANCIAL ADVISORS, INC.
May 11, 2009 - June 9, 2010
VALIC FINANCIAL ADVISORS, INC.
March 17, 2008 - December 17, 2008
WOODBURY FINANCIAL SERVICES, INC.
March 12, 2004 - January 25, 2008
ALLSTATE FINANCIAL SERVICES, LLC
July 3, 2003 - March 22, 2004
LIBERTY GROUP, LLC
May 8, 2000 - May 30, 2003
NEW ENGLAND SECURITIES
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
