Douglas R. Sue
Professional summary
Douglas Richard Sue, who also goes by Douglas Sue, Douglas Richard Sue, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2009. Douglas has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Richard Sue's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2022 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010December 7, 2018 - May 5, 2021
FRANKLIN DISTRIBUTORS, LLC
December 1, 2015 - December 21, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
September 19, 2012 - November 5, 2015
BNP PARIBAS SECURITIES CORP.
August 20, 2009 - January 6, 2015
BNP PARIBAS PRIME BROKERAGE, INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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