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Douglas S Launer

CRD# 5384057·Registered 2010 - 2012
Previously Registered: Being a previously registered professional could mean that Douglas 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.

Professional Summary

Douglas S Launer was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 2010 - 2012. Douglas had worked at 1 firm and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

16 years in the financial services industry

Current & Past Employments

CHAPDELAINE TULLETT PREBON, LLC·CRD# 7017
BD
New York, NY
May 14, 2010 - March 13, 2012

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Current Firm

CT
CHAPDELAINE TULLETT PREBON, LLC

CHAPDELAINE & CO. | CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017 / SEC#: 8-29620
BD
Terminated by SEC on 08/11/2012

Contact Information

Established

New York since 01/11/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
TULLETT PREBON AMERICAS CORP.SOLE MEMBER—
ABULARRAGE, JOHN JOSEPHCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER3265633
CURRIE, JULIAN HOWARDCONTROLLER/FINOP4337579
LYNCH, MARTINCHIEF OPERATING OFFICER5612726
PEZEU, CHRISTIAN JEAN MICHELCHIEF FINANCIAL OFFICER5661987

Disclosures

Regulatory Event

5

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2010About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 2010About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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