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DB

Douglas R. Bousaid

Some features on this profile are disabled
CRD#: 4401727
DB

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 Ray Bousaid was a registered financial advisor .

Douglas is a previously registered financial advisor and started their career in finance in 2001. Douglas had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 28 exams.

top-8-questions

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

January 4, 2005 - October 26, 2009

FIFTH STREET CAPITAL, LLC

BD
CRD#: 103701
AUSTIN, TX
Past

February 20, 2004 - January 3, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA
CRD#: 17086
LEANDER, TX
Past

February 18, 2004 - January 3, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

May 20, 2002 - February 10, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

June 22, 2001 - May 1, 2002

RIVERSTONE WEALTH MANAGEMENT, INC.

BD
CRD#: 40418
AUSTIN, TX

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
IAR
Series 66
Date: 12/23/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/19/2009
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

FS
FIFTH STREET CAPITAL, LLC
FIFTH STREET CAPITAL, LLC | SUN AMERICAN FINANCIAL, LLC | GRAY CAPITAL PARTNERS, LLC

CRD#: 103701 / SEC#: , 8-52193

BD
Cancelled by SEC on 08/27/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/15/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRAY CAPITAL CORPORATIONOWNER
BOUSAID, DOUGLAS RAYOWNER4401727
HOLLAND, KYLE TIMOTHYMANAGING DIRECTOR2308543
KIDDER, BRIAN GRAYSONCHIEF COMPLIANCE OFFICER2255243

Disclosures

Regulatory Event4

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

FIFTH STREET CAPITAL, LLC

CRD#: 103701

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