Douglas J. Urata
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 James Urata, who also goes by Doug Urata, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1980. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - November 12, 2025
LPL ENTERPRISE, LLC
March 1, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
August 19, 2004 - April 15, 2021
PACIFIC SELECT DISTRIBUTORS, LLC
April 23, 1991 - February 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 3, 1987 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
December 6, 1985 - August 26, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 20, 1980 - April 9, 1984
EQUITABLE ADVISORS, LLC
July 8, 1980 - April 9, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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 1
Date: 6/30/1980
Registered Representative ExaminationCurrent Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
