Douglas K. Pheeney

VAN ECK SECURITIES

New York, NY 10017-4033

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CRD#: 4283441

Professional summary

Douglas Keeler Pheeney is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 2001. Douglas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 Keeler Pheeney'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®

None

Experience

Current

July 26, 2016 - Present

VAN ECK SECURITIES CORPORATION

Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033

CRD#: 2269

New York, NY

Past

March 14, 2013 - March 8, 2016

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

New York, NY

Past

March 13, 2013 - March 8, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

April 8, 2008 - March 4, 2013

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

February 24, 2004 - April 3, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

NASHVILLE, TN

Past

October 14, 2002 - March 4, 2013

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

July 9, 2001 - September 10, 2002

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

State Registrations and Notice Filings

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

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

Connecticut
(7/26/2016)

Maine
(7/26/2016)

Massachusetts
(7/26/2016)

New Hampshire
(7/26/2016)

Rhode Island
(7/26/2016)

Vermont
(7/26/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION

CRD#: 2269 / SEC#: , 8-4618

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Mailing Address

666 Third Avenue 9th Floor, New York, NY 10017-4033

Phone number

(212) 293-2000

Established

Delaware since 08/01/1955

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VAN ECK ASSOCIATES CORPORATION	100% OWNER & PARENT
GOZZILLO, FRANCESCO MICHAEL	CHIEF COMPLIANCE OFFICER	2099916
RAPPAPORT, LEE ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR	4682842
SIMON, JONATHAN RICH	SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR	5313394
VANECK, JAN FREDERICK	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	1695680

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Douglas K. Pheeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Keeler Pheeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2004

Series 63

Date: 11/1/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2002

Series 6

Date: 7/6/2001

FINRA

Current Firm

VAN ECK SECURITIES CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VAN ECK SECURITIES CORPORATION

TRUST BUT VERIFY

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