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DS

Douglas J. Sealy

MBS CAPITAL MARKETS
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 417544
DS

Professional summary

Douglas James Sealy is a registered financial professional currently at MBS CAPITAL MARKETS, LLC located in Winter Park, Florida.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1974. Douglas has worked at 4 firms and has passed the Series 63, Series 52TO, Series 7TO, SIE, Series 1, Series 24 and Series 40 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) - BD

Click below to view Douglas James Sealy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 31, 2011 - Present

MBS CAPITAL MARKETS, LLC

Office #1: 152 Lincoln Avenue, Winter Park, FL 32789
BD
CRD#: 155065
Winter Park, FL
Past

November 27, 1991 - May 25, 2011

PRAGER & CO., LLC

BD
CRD#: 21567
ORLANDO, FL
Past

March 31, 1986 - October 16, 1991

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

March 7, 1974 - March 17, 1986

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(10/26/2011)
RR
California
(10/26/2011)
RR
Colorado
(10/26/2011)
RR
Connecticut
(1/31/2013)
RR
Florida
(5/31/2011)
RR
Illinois
(10/26/2011)
RR
Maryland
(10/26/2011)
RR
Massachusetts
(10/26/2011)
RR
Minnesota
(10/26/2011)
RR
New Jersey
(10/26/2011)
RR
New York
(10/26/2011)
RR
Pennsylvania
(10/26/2011)
RR
South Carolina
(10/26/2011)
RR
Texas
(1/29/2015)
RR
Utah
(1/31/2013)
RR
Virginia
(10/26/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 3/4/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 7/21/1975
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MBS CAPITAL MARKETS, LLC
MBS CAPITAL MARKETS, LLC

CRD#: 155065 / SEC#: , 8-68690

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

Main Address
1902 S. Macdill Avenue, Tampa, FL 33629
Mailing Address
1902 S. Macdill Avenue, Tampa, FL 33629
Phone number
(813) 281-2700
Established
Florida since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BULLEIT, EDWIN MURRAYMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/MUNICIPAL PRINCIPAL/MANAGING MEMBER/AML OFFICER/FINOP1452847
SEALY, BRETT AARONMANAGING PARTNER2526344
MOSSING, RHONDA KAYSENIOR VICE PRESIDENT/MANAGING PARTNER5079617

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

MBS CAPITAL MARKETS, LLC

CRD#: 155065Winter Park, FL 32789

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