Douglas S. Thierman
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 Scott Thierman, who also goes by Doug Thierman, Dougie Thierman, Douglas Scott Thierman, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2012. Douglas had worked at 15 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4, Series 24 and Series 30 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2026 - June 15, 2026
FARKAS CAPITAL
April 26, 2024 - July 17, 2024
QUINT CAPITAL CORPORATION
November 17, 2022 - February 6, 2023
ALLIED MILLENNIAL PARTNERS, LLC
December 7, 2021 - June 1, 2022
NEWBRIDGE SECURITIES CORPORATION
March 11, 2021 - May 25, 2021
PHX FINANCIAL, INC.
March 26, 2020 - July 30, 2020
WYNSTON HILL CAPITAL, LLC
May 2, 2019 - February 28, 2020
NATIONAL SECURITIES CORPORATION
February 8, 2017 - April 3, 2019
FOUR POINTS CAPITAL PARTNERS LLC
July 23, 2015 - June 8, 2016
SPARTAN CAPITAL SECURITIES, LLC
January 8, 2015 - March 23, 2015
J.H. DARBIE & CO., INC.
June 3, 2014 - October 29, 2014
NATIONAL SECURITIES CORPORATION
January 21, 2014 - March 31, 2014
WINDSOR STREET CAPITAL, LP
June 18, 2013 - December 13, 2013
E1 ASSET MANAGEMENT, INC.
January 9, 2013 - January 29, 2013
ROCKWELL GLOBAL CAPITAL LLC
November 21, 2012 - January 2, 2013
COLUMBUS ADVISORY GROUP, LTD.
October 23, 2012 - November 13, 2012
CHARLES VISTA LLC
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
FARKAS CAPITAL
CRD#: 317570 / SEC#: , 8-70921
Contact information
FINRA licenses (16 States and Territories)
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.
