Douglas J. Schoninger
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 Jay Schoninger, who also goes by Douglas Schoninger, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 4 firms and has passed the Series 66, SIE, Series 31 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
July 18, 2008 - October 17, 2014
INVESTORS CAPITAL CORP.
January 2, 2004 - July 21, 2008
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
July 2, 2002 - December 31, 2003
OPPENHEIMER & CO. INC.
May 29, 2001 - July 2, 2002
MORGAN STANLEY DW INC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
