Douglas S. Thierman

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CRD#: 6130085

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 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Doug Thierman | Dougie Thierman | Douglas Scott Thierman

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

April 26, 2024 - July 17, 2024

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

November 17, 2022 - February 6, 2023

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

NEW YORK, NY

Past

December 7, 2021 - June 1, 2022

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

Past

March 11, 2021 - May 25, 2021

PHX FINANCIAL, INC.

CRD#: 144403

NEW YORK, NY

Past

March 26, 2020 - July 30, 2020

WYNSTON HILL CAPITAL, LLC

CRD#: 103811

Bronx, NY

Past

May 2, 2019 - February 28, 2020

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

February 8, 2017 - April 3, 2019

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

NEW YORK, NY

Past

July 23, 2015 - June 8, 2016

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

January 8, 2015 - March 23, 2015

J.H. DARBIE & CO., INC.

CRD#: 43520

NEW YORK, NY

Past

June 3, 2014 - October 29, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

January 21, 2014 - March 31, 2014

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

June 18, 2013 - December 13, 2013

E1 ASSET MANAGEMENT, INC.

CRD#: 46872

JERSEY CITY, NJ

Past

January 9, 2013 - January 29, 2013

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

NEW YORK, NY

Past

November 21, 2012 - January 2, 2013

COLUMBUS ADVISORY GROUP, LTD.

CRD#: 126331

NEW YORK, NY

Past

October 23, 2012 - November 13, 2012

CHARLES VISTA LLC

CRD#: 132650

STATEN ISLAND, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

State Security Law Exam

Series 63

Date: 11/3/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/18/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/22/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/16/2017

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/19/2013

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 11/28/2009

NFA Branch Manager Examination

Current Firm

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

230 Park Ave - 361w, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-5090

Established

Florida since 05/28/1989

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-SEPT 30 2024 (9/30/2024)

Direct owners and executive officers

Name	Position	CRD#
QCAP HOLDINGS LLC (NAME CHANGE FROM QUINT CAPITAL LLC	OWNER
ACHZET, DAVID EDWARD	CHIEF COMPLIANCE OFFICER	1209132
PETERS, ROBERT WILLIAM	FINOP	1704577
QUINT, ALEXANDER NORMAN	CEO	1012135

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 147,573,714

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Douglas S. Thierman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLIED MILLENNIAL PARTNERS, LLC

NEWBRIDGE SECURITIES CORPORATION

PHX FINANCIAL, INC.

WYNSTON HILL CAPITAL, LLC

NATIONAL SECURITIES CORPORATION

FOUR POINTS CAPITAL PARTNERS LLC

SPARTAN CAPITAL SECURITIES, LLC

J.H. DARBIE & CO., INC.

NATIONAL SECURITIES CORPORATION

WINDSOR STREET CAPITAL, LP

E1 ASSET MANAGEMENT, INC.

ROCKWELL GLOBAL CAPITAL LLC

COLUMBUS ADVISORY GROUP, LTD.

CHARLES VISTA LLC

Primary Firm SEC Registration

QUINT CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2012

SIE

Date: 10/1/2018

Series 3

Date: 6/18/2013

Series 7

Date: 10/22/2012

Series 4

Date: 9/16/2017

Series 24

Date: 9/19/2013

Series 30

Date: 11/28/2009

Current Firm

QUINT CAPITAL CORPORATION

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

QUINT CAPITAL CORPORATION

TRUST BUT VERIFY

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