DH
Douglas M. Harter
BTIG
New York, NY 10022
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CRD#: 4234667
DH
Professional summary
Douglas M. Harter, who also goes by Douglas Michael Harter, Douglas Harter, is a registered financial professional currently at BTIG, LLC located in New York, New York.
Douglas M. is registered as a RR (Registered Representative) and started their career in finance in 2000. Douglas M. has worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Douglas Michael Harter | Douglas Harter
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas M. Harter's 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®
NoneExperience
Current
April 21, 2026 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022BD
CRD#: 122225
New York, NY
Past
September 21, 2023 - April 29, 2026
UBS SECURITIES LLC
BD
CRD#: 7654
New York, NY
Past
December 18, 2000 - September 22, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
October 6, 2000 - December 18, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
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(4/21/2026)
RR
Alaska(4/21/2026)
RR
Arizona(4/21/2026)
RR
Arkansas(4/21/2026)
RR
California(4/21/2026)
RR
Colorado(4/21/2026)
RR
Connecticut(4/21/2026)
RR
Delaware(4/21/2026)
RR
District of Columbia(4/21/2026)
RR
Florida(4/21/2026)
RR
Georgia(4/21/2026)
RR
Hawaii(4/21/2026)
RR
Idaho(4/21/2026)
RR
Illinois(4/21/2026)
RR
Indiana(4/21/2026)
RR
Iowa(4/21/2026)
RR
Kansas(4/21/2026)
RR
Kentucky(4/21/2026)
RR
Louisiana(4/21/2026)
RR
Maine(4/21/2026)
RR
Maryland(4/21/2026)
RR
Massachusetts(4/21/2026)
RR
Michigan(4/21/2026)
RR
Minnesota(4/21/2026)
RR
Mississippi(4/21/2026)
RR
Missouri(4/21/2026)
RR
Montana(4/21/2026)
RR
Nebraska(4/21/2026)
RR
Nevada(4/21/2026)
RR
New Hampshire(4/21/2026)
RR
New Jersey(4/21/2026)
RR
New Mexico(4/21/2026)
RR
New York(4/21/2026)
RR
North Carolina(4/21/2026)
RR
North Dakota(4/21/2026)
RR
Ohio(4/21/2026)
RR
Oklahoma(4/21/2026)
RR
Oregon(4/21/2026)
RR
Pennsylvania(4/21/2026)
RR
Rhode Island(4/21/2026)
RR
South Carolina(4/21/2026)
RR
South Dakota(4/21/2026)
RR
Texas(4/21/2026)
RR
Utah(4/21/2026)
RR
Vermont(4/21/2026)
RR
Virginia(4/21/2026)
RR
Washington(4/21/2026)
RR
West Virginia(4/21/2026)
RR
Wisconsin(4/21/2026)
RR
Wyoming(4/21/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
