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Douglas K. Traynor

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CRD#: 600138
DT

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 Keith Traynor, who also goes by Douglas K Traynor, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1982. Douglas had worked at 8 firms and has passed the Series 63, Series 16, Series 7, Series 14, Series 4, Series 53, Series 27, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas K Traynor

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)

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

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

Past

November 22, 1994 - December 15, 1997

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

February 1, 1994 - August 1, 1994

MARION BASS SECURITIES CORPORATION

BD
CRD#: 7961
CHARLOTTE, NC
Past

June 24, 1992 - September 9, 1993

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

February 26, 1992 - June 30, 1992

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

October 19, 1990 - November 4, 1991

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

October 26, 1988 - October 26, 1990

MINOTAUR SECURITIES CORPORATION

BD
CRD#: 23129
Past

February 2, 1987 - August 9, 1988

W.H. NEWBOLD'S SON & CO., INC.

BD
CRD#: 7575
Past

April 29, 1982 - July 29, 1982

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 4/24/1991
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/25/1991
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/21/1988
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/13/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/11/1988
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/1988
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/24/1987
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FU
FIRST UNITED EQUITIES CORPORATION
FIRST UNITED EQUITIES CORPORATION

CRD#: 36398 / SEC#: , 8-47212

BD
Terminated by SEC on 04/03/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/08/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

FIRST UNITED EQUITIES CORPORATION

CRD#: 36398

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