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DS

Douglas D. Shoemaker

Some features on this profile are disabled
CRD#: 4502724
DS

Professional summary

Douglas David Shoemaker was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Douglas is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Douglas had worked at 6 firms, which includes MIDPOINT FINANCIAL SERVICES INC., TOTAL WEALTH MANAGEMENT INC., SUNAMERICA SECURITIES INC., SUNSET FINANCIAL SERVICES INC., WORLD GROUP SECURITIES INC., WMA SECURITIES INC..

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

October 3, 2007 - March 6, 2008

MIDPOINT FINANCIAL SERVICES, INC.

BD
CRD#: 131784
SAN DIEGO, CA
Past

September 6, 2006 - December 31, 2014

TOTAL WEALTH MANAGEMENT INC.

RIA
CRD#: 140503
SAN DIEGO, CA
Past

January 18, 2005 - September 30, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

April 22, 2004 - January 18, 2005

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

April 12, 2002 - April 9, 2004

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

February 25, 2002 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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
IAR
Series 65
Date: 6/27/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MF
MIDPOINT FINANCIAL SERVICES, INC.
MIDPOINT FINANCIAL SERVICES, INC.

CRD#: 131784 / SEC#: , 8-66502

BD
Terminated by SEC on 02/03/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/20/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MORIMOTO, STACEY JIMPRESIDENT/PRINCIPAL/CHIEF COMPLIANCE OFFICER4420782
SPRING, JOHN PAULSHAREHOLDER
ATWAN, PHILLIP ANTHONYSHAREHOLDER
KASKY, CAROLYN JOFINOP1189697
SPRING, CHRISTIAN BENJAMINPRINCIPAL5023731

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

MIDPOINT FINANCIAL SERVICES, INC.

CRD#: 131784

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