Douglas M. Pease
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 Macdonald Pease JR, who also goes by Doug Pease Jr, Doug Pease, Douglas M. Pease, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1972. Douglas had worked at 8 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2007 - April 27, 2019
FOUNTAIN STRATEGIES, LLC
October 27, 2003 - December 31, 2006
MAAS CAPITAL ADVISORS, LLC
July 8, 1997 - December 31, 2003
KMS FINANCIAL SERVICES, INC.
February 10, 1992 - December 31, 2003
KMS FINANCIAL SERVICES, INC.
November 13, 1989 - February 26, 1992
THE ADVISORS GROUP, INC.
March 21, 1988 - November 14, 1989
KMS FINANCIAL SERVICES, INC.
November 25, 1980 - January 28, 1988
KMS FINANCIAL SERVICES, INC.
January 14, 1976 - December 3, 1980
AMERICAN INVESTORS COMPANY
September 25, 1973 - January 20, 1976
INVESTMENT MARKETING, INC.
February 7, 1973 - November 4, 1973
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 4, 1972 - November 12, 1973
WORLD CAPITAL BROKERAGE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/20/1972
Registered Representative ExaminationCurrent Firm
FOUNTAIN STRATEGIES, LLC
CRD#: 142890 / SEC#:
Contact information
Red Flags
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