Douglas L. Yeager
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 Lee Yeager was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 6 firms and has passed the 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
April 21, 2015 - May 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2015 - May 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2013 - February 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2013 - February 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2005 - May 12, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 2005 - May 12, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 20, 2004 - February 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2003 - October 20, 2004
QUICK & REILLY, INC.
May 22, 2003 - October 20, 2004
QUICK & REILLY, INC.
March 12, 2003 - June 2, 2003
HARVEST CAPITAL LLC
November 4, 2002 - March 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 4, 2002 - March 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2000 - September 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2000 - September 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
