Douglas M. Kletter
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 Michael Kletter, who also goes by Doug M Kletter, Douglas Michael Kletter, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2010. Douglas had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2019 - February 14, 2023
CITADEL SECURITIES LLC
June 11, 2019 - February 14, 2023
CITADEL SECURITIES INSTITUTIONAL LLC
May 8, 2013 - June 27, 2019
GOLDMAN SACHS & CO. LLC
July 20, 2012 - April 30, 2013
CREDIT SUISSE SECURITIES (USA) LLC
October 25, 2010 - March 2, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
Red Flags
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