Megan M. Douat
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.
Megan Michelle Douat, CFP®, who also goes by Megan M Kowalik, Megan Michelle Kowalik, was a registered financial professional .
Megan is a previously registered financial professional and started their career in finance in 2013. Megan had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2021 - October 13, 2023
UNITED CAPITAL FINANCIAL ADVISORS
January 19, 2021 - October 13, 2023
GOLDMAN SACHS & CO. LLC
December 5, 2016 - October 7, 2020
ROBERT W. BAIRD & CO. INCORPORATED
December 5, 2016 - October 7, 2020
ROBERT W. BAIRD & CO. INCORPORATED
September 5, 2014 - October 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2014 - October 11, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2013 - June 16, 2014
EDWARD JONES
January 1, 2013 - June 16, 2014
EDWARD JONES
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
