Doug W. Bell
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.
Doug William Bell was a registered financial professional .
Doug is a previously registered financial professional and started their career in finance in 2015. Doug had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2023 - December 20, 2023
TD AMERITRADE, INC.
February 20, 2023 - January 10, 2024
CHARLES SCHWAB & CO., INC.
February 1, 2019 - May 18, 2020
TD AMERITRADE CLEARING, INC.
June 3, 2015 - February 20, 2023
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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