Douglas M. Isenberg

NEUSE RIVER CAPITAL

Mill Creek, WA

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CRD#: 5279869

Professional summary

Douglas Martens Isenberg is a registered financial advisor currently at NEUSE RIVER CAPITAL, LLC located in Mill Creek, Washington.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Douglas has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Douglas Martens Isenberg'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®

None

Experience

Current

February 18, 2011 - Present

NEUSE RIVER CAPITAL, LLC

RIA

CRD#: 156343

Mill Creek, WA

Past

January 27, 2009 - January 6, 2011

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

RALEIGH, NC

Past

January 26, 2009 - January 6, 2011

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

RALEIGH, NC

Past

February 21, 2007 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

RALEIGH, NC

Past

February 5, 2007 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

RALEIGH, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(3/17/2015)

IAR

North Carolina
(2/18/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/2/2007

General Securities Representative Examination

Current Firm

NEUSE RIVER CAPITAL, LLC

CRD#: 156343 / SEC#:

Arizona

Registered Investment Advisory firm - (3/17/2015 Approved)

North Carolina

Registered Investment Advisory firm - (2/18/2011 Approved)

Washington

Registered Investment Advisory firm - (10/4/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Wilmington, NC

Mailing Address

Phone number

(919) 274-8982

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 13,100,000

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.

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Douglas M. Isenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Martens Isenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEUSE RIVER CAPITAL, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2007

Series 7

Date: 2/2/2007

Current Firm

NEUSE RIVER CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEUSE RIVER CAPITAL, LLC

TRUST BUT VERIFY

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