Douglas C. Briles
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 Clifford Briles was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2014. Douglas had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2019 - December 17, 2019
MAINSTREET ADVISORS
July 3, 2017 - October 10, 2019
CEDAR HILL ASSOCIATES, LLC
August 26, 2014 - June 28, 2017
CAMBIUM ASSET MANAGEMENT LLC
Primary Firm SEC Registration
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
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
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,683 |
| AUM (Assets Under Management) | $ 5,409,800,392 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2024 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
