Andrew P. Douglas

CASTLE PLACEMENT

New York, NY 10036

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CRD#: 6873183

Professional summary

Andrew Penick Watson Douglas, who also goes by Andrew Douglas, is a registered financial professional currently at CASTLE PLACEMENT, LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2018. Andrew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Douglas

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.

1. Mountain Park Water Inc; no; 2835 Lowery St, Winston Salem NC 27101; bottled water manufacturing and distribution; Owner 19%; 2007;0;0;none/passive ownership/not compensated

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Penick Watson Douglas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 1, 2022 - Present

CASTLE PLACEMENT, LLC

Office #1: 1460 Broadway, New York, NY 10036

CRD#: 189511

New York, NY

Past

February 2, 2021 - August 22, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

KENNERSVILLE, NC

Past

February 2, 2021 - August 22, 2022

LPL FINANCIAL LLC

CRD#: 6413

KENNERSVILLE, NC

Past

April 12, 2018 - February 17, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WINSTON SALEM, NC

Past

January 9, 2018 - February 17, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WINSTON SALEM, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(8/1/2022)

North Carolina
(8/24/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: , 8-69612

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

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Contact information

Main Address

1460 Broadway, New York, NY 10036

Mailing Address

1460 Broadway, New York, NY 10036

Phone number

(212) 418-1180

Established

Delaware since 03/13/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CASTLE PLACEMENT GROUP LLC	MEMBER
BEATON, DANIEL STEWART	FINOP	4240769
LUFTIG, RICHARD STEVEN	CCO, EXEC REP, AML SUPERVISOR	2391290
MARGOLIS, KENNETH HARRY	MANAGER, HOME OFFICE SUPERVISOR	2230861

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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Andrew P. Douglas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Penick Watson Douglas's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASTLE PLACEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2018

FINRA

Current Firm

CASTLE PLACEMENT, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CASTLE PLACEMENT, LLC

TRUST BUT VERIFY

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