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Douglas I. Van Peteghem

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CRD#: 4241832
DV

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 Ian Van Peteghem was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 7 firms and has passed the Series 63, SIE and Series 37 exams.

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

November 20, 2014 - February 3, 2025

RESEARCH CAPITAL USA INC.

BD
CRD#: 39670
TORONTO,
Past

October 18, 2013 - October 31, 2014

JENNINGS CAPITAL (USA) INC.

BD
CRD#: 141191
CALGARY AB,
Past

December 2, 2011 - October 10, 2013

EDGECREST CAPITAL (USA) INC.

BD
CRD#: 153978
TORONTO ONTARIO,
Past

June 17, 2010 - November 30, 2011

JENNINGS CAPITAL (USA) INC.

BD
CRD#: 141191
TORONTO, ONTARIO,
Past

October 11, 2008 - July 2, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
TORONTO, ONTARIO,
Past

February 23, 2005 - October 10, 2008

THOMAS WEISEL PARTNERS (USA) INC.

BD
CRD#: 129395
TORONTO, ONTARIO,
Past

April 12, 2002 - July 9, 2002

PARADIGM CAPITAL U.S. INC.

BD
CRD#: 104425
TORONTO ONTARIO,
Past

March 1, 2001 - April 3, 2002

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK 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: 11/12/2007
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 37
Date: 2/28/2001
Canada Module of the General Securities Registered Representative (With Options Questions)

Current Firm

RC
RESEARCH CAPITAL USA INC.
MACKIE RESEARCH USA INC. | RESEARCH CAPITAL USA INC.

CRD#: 39670 / SEC#: , 8-48795

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

Main Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Mailing Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Phone number
(416) 860-7600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RESEARCH CAPITAL CORPORATIONSOLE OWNER
SELBIE, ANDREW CHARLESPRESIDENT2009162
SELBIE, ANDREW CHARLESCEO, CFO, FINOP & CORPORATE SECRETARY2009162
WILLIAMS, JOHN RAYCHIEF COMPLIANCE OFFICER1865081

Disclosures

Regulatory Event2

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

RESEARCH CAPITAL USA INC.

CRD#: 39670

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