Douglas E. Doerge
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 Elwood Doerge, who also goes by Douglas Ellwood Doerge, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1974. Douglas had worked at 6 firms and has passed the Series 63, SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2001 - June 24, 2015
L&M FINANCIAL SERVICES
December 20, 1983 - December 6, 2000
FINANCIAL AMERICA SECURITIES, INC.
October 23, 1981 - November 22, 1983
LEHMAN BROTHERS INC.
May 12, 1978 - October 27, 1981
FINANCIAL SQUARE PARTNERS
February 24, 1978 - May 10, 1978
MORGAN STANLEY DW INC.
July 23, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
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
Series 000
Date: 8/1/1974
General Securities Principal ExaminationSeries 1
Date: 7/22/1974
Registered Representative ExaminationCurrent Firm
L&M FINANCIAL SERVICES
CRD#: 26247 / SEC#: , 8-42456
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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