Douglas G. Soderberg
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 G Soderberg was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1969. Douglas had worked at 4 firms and has passed the Series 7TO, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2006 - December 19, 2022
L.O. THOMAS & CO. INC.
April 24, 1973 - December 22, 1976
VERAVEST INVESTMENTS, INC.
April 24, 1973 - December 22, 1976
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
March 14, 1969 - January 3, 2006
SODERBERG & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/6/1968
Registered Representative ExaminationSeries 00
Date: 9/10/1968
General Securities Principal ExaminationCurrent Firm
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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