Douglas E. Wilcox
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 Edward Wilcox 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 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
June 10, 2021 - September 30, 2022
PROTEUS, LLC
October 5, 2015 - January 19, 2017
EQUITABLE ADVISORS, LLC
September 29, 2015 - January 19, 2017
EQUITABLE ADVISORS, LLC
October 10, 2014 - March 5, 2015
AEGIS CAPITAL CORP.
Primary Firm SEC Registration
PROTEUS, LLC
CRD#: 164085 / SEC#: 801-121224
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
PROTEUS, LLC
CRD#: 164085 / SEC#: 801-121224
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 217,614,958 |
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.
