David I. Dougan
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.
David Isaiah Dougan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1973. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC 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 22, 2002 - June 30, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
September 30, 2002 - December 19, 2002
J.P. TURNER & COMPANY, L.L.C.
January 25, 2002 - September 30, 2002
SCHNEIDER SECURITIES, INC.
June 24, 1999 - January 11, 2002
STANFORD GROUP COMPANY
November 19, 1985 - June 22, 1999
UBS FINANCIAL SERVICES INC.
October 12, 1976 - October 21, 1985
THOMSON MCKINNON SECURITIES INC.
August 14, 1973 - November 1, 1976
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/10/1973
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
