Douglas R. Sharpe
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 Rolfe Sharpe 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, Series 3, Series 7 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
Experience
October 3, 2013 - January 27, 2014
BROWNSTONE INVESTMENT GROUP, LLC
September 30, 2011 - April 18, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 12, 2003 - September 30, 2011
STONE & YOUNGBERG LLC
July 27, 1987 - December 6, 2002
MORGAN STANLEY MARKET PRODUCTS INC.
May 7, 1987 - November 25, 2002
MORGAN STANLEY & CO. LLC
November 6, 1981 - November 2, 1983
CITICORP SECURITIES, INC.
December 1, 1980 - September 11, 1981
EQUITEC SECURITIES COMPANY
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: 7/21/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROWNSTONE INVESTMENT GROUP, LLC
CRD#: 43884 / SEC#: , 8-50460
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWNSTONE INVESTMENT OPPORTUNITIES, LLC | SOLE MEMBER | |
| BARTMESS, JOANNE CHRISTINE | FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18) | 2922047 |
| HUNTER, MICHELLE HALLA | CHIEF COMPLIANCE OFFICER | 2689083 |
| LOWEY, DOUGLAS BENNETT | MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER | 1932929 |
| SABLOWSKY, JON SCOTT | CHIEF OPERATING OFFICER | 1515334 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
