Douglas J. Durham
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 Jones Durham was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1974. Douglas had worked at 6 firms and has passed the Series 63, Series 18 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 1985 - September 15, 1986
PROFESSIONAL BROKERAGE SERVICES INC.
October 24, 1985 - November 12, 1985
MOSELEY SECURITIES CORPORATION
February 27, 1985 - October 11, 1985
PROFESSIONAL BROKERAGE SERVICES INC.
April 27, 1981 - January 7, 1985
KIDDER, PEABODY & CO. INCORPORATED
March 26, 1979 - May 27, 1981
ALEX. BROWN & SONS INCORPORATED
September 15, 1978 - February 12, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
September 25, 1974 - December 22, 1975
BACHE & CO CANADA LTD
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 18
Date: 9/7/1978
Securities Industry Rules and Regulations ExaminationCurrent Firm
PROFESSIONAL BROKERAGE SERVICES INC.
CRD#: 7998 / SEC#: , 8-24084
Contact information
Documents
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.
