DS
Douglas T. Schoeler
GFI SECURITIES LLC
New York, NY 10041
Some features on this profile are disabled
CRD#: 4609264
DS
Professional summary
Douglas Todd Schoeler is a registered financial professional currently at GFI SECURITIES LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2003. Douglas has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Todd Schoeler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 18, 2003 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041BD
CRD#: 19982
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(12/8/2004)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
GS
GFI SECURITIES LLC
12TH STREET CAPITAL, A DIVISION OF GFI SECURITIES LLC | SUNRISE BROKERS, A DIVISION OF GFI SECURITIES LLC | SUNRISE A DIVISION OF GFI SECURITIES | LATIUM, A DIVISION OF GFI SECURITIES LLC | GFI SECURITIES LLC | GFI GROUP, INC. | G.F.I. GROUP, INC. | FENICS-PM, A DIVISION OF GFI SECURITIES LLC | CAVENTOR CAPITAL, A DIVISION OF GFI SECURITIES LLC. | AUREL PARTNERS A DIVISION OF GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Water Street 10th Floor, New York, NY 10041
Mailing Address
55 Water Street 10th Floor, New York, NY 10041
Phone number
(212) 968-2032
Established
New York since 07/09/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
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.
