Douglas G. Temple
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 Guy Temple, who also goes by Douglas Temple-trujillo, Doug Guy Templetrujillo, Douglas Guy Templetrujillo, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1980. Douglas had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2018 - December 20, 2018
FMI CAPITAL ADVISORS, INC.
November 23, 2011 - January 5, 2018
ASCENT INVESTMENT ADVISORS, LLC
May 23, 2011 - January 10, 2018
FDX CAPITAL LLC
March 31, 2011 - January 2, 2019
ALT FUND DISTRIBUTORS LLC
February 9, 2011 - February 14, 2011
WADDELL & REED
January 27, 2011 - February 14, 2011
WADDELL & REED
June 7, 2004 - December 2, 2010
GENEOS WEALTH MANAGEMENT, INC.
November 17, 2003 - June 4, 2004
AFS BROKERAGE, INC.
September 26, 2002 - August 14, 2003
VESTAX SECURITIES CORPORATION
August 12, 2002 - August 14, 2003
IFG NETWORK SECURITIES, INC.
January 1, 1999 - August 14, 2003
CETERA ADVISORS LLC
January 10, 1994 - August 14, 2003
CETERA ADVISORS LLC
November 10, 1993 - December 17, 1993
SPENCER EDWARDS, INC.
October 4, 1990 - October 22, 1993
FAIRCHILD FINANCIAL GROUP, INC.
October 16, 1985 - July 20, 1990
CAPITAL MARKETS CORPORATION
April 3, 1980 - January 7, 1985
WALFORD, DEMARET & CO., 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
Current Firm
FMI CAPITAL ADVISORS, INC.
CRD#: 129262 / SEC#: , 8-66206
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
