Douglas W. Elliott
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 William Elliott, CFP® was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1980. Douglas had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1985
Experience
March 1, 1996 - December 31, 2005
CADARET, GRANT & CO., INC.
August 23, 1994 - September 8, 2021
GREYSTOKE CONSULTING, INC.
May 15, 1992 - March 14, 1996
CETERA ADVISORS LLC
April 2, 1985 - May 30, 1992
RAYMOND JAMES & ASSOCIATES, INC.
July 24, 1980 - April 2, 1985
A. G. EDWARDS & SONS, 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 8
Date: 12/2/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
