Douglas H. Fanelli
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 H Fanelli, who also goes by Doug Fanelli, Douglas H. Fanelli Mr., was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2003. Douglas had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - October 3, 2014
TD AMERITRADE, INC.
September 15, 2014 - October 3, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 8, 2014 - October 3, 2014
TD AMERITRADE, INC.
July 30, 2010 - May 16, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
January 5, 2010 - May 16, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 18, 2008 - December 31, 2008
FIRST ALLIED SECURITIES, INC.
November 20, 2003 - February 21, 2008
MUTUAL SERVICE CORPORATION
June 30, 2003 - September 2, 2003
MORGAN STANLEY DW INC.
March 27, 2003 - June 6, 2003
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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