Douglas Alan Palmer
AIF®Professional Summary
Douglas Alan Palmer, AIF®, who also goes by Doug Palmer, Douglas Palmer, is a registered financial advisor currently at CGI PLAN ADVISORS, INC. located in Frazer, Pennsylvania. Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Douglas has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doug Palmer, Douglas Palmer
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
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.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Credentials
Years of Experience
14 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Current Firm
CGI PLAN ADVISORS, INC.
Contact Information
Main Address
601 Swedesford Rd, Swedesford Corporate Center, Frazer, PA 19355Phone Number
(610) 854-1420# of Employees
2SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
29AUM (Assets Under Management)
$261,006,787Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
Primary Firm SEC Registration
CGI PLAN ADVISORS, INC.
State Registrations and Notice Filings
(2/16/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2012About the Series 6 examSimilar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Alan Palmer's CRS (Customer Relationship Summary).
Similar Advisors
SHERPA CAPITAL MANAGEMENT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RBC CAPITAL MARKETS, LLC
OSAIC WEALTH, INC.
