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RD

Rick M. Doucette

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CRD#: 8039692
RD
Rick Michael Doucette

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.

Rick Michael Doucette was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 2025. Rick had worked at 1 firm and has passed the Series 65 and SIE exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I am employed as a Client Accounting Specialist with Paychex. Started in January of 2018 at 126 Merrow Rd, Auburn, ME 04210. 160 hours a month are dedicated to this business. Hours for this other business will decline as investment advisor hours increase. In example if 40 hours are needed for investment advisor business during month other business hours will be decreased to a total of 120 hours. Number of hours devoted to other business during trading securities hours are dependent on amount of business such as the example provided above. The duties to the other business are generally accounts receivable which means matching items with the invoices that they are supposed to pay.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 31, 2025 - July 10, 2026

DOUCETTE FINANCIAL

RIA
CRD#: 334941
Sabattus, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/28/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2024
Securities Industry Essentials Examination

Current Firm

DF
DOUCETTE FINANCIAL
DOUCETTE FINANCIAL | DOUCETTE FINANCIAL LLC

CRD#: 334941 / SEC#:

Maine
Registered Investment Advisory firm - (10/31/2025 Approved)
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Contact information

Main Address
Sabattus, ME
Mailing Address
Po Box 7158, Lewiston, ME 04243
Phone number
(207) 240-9821
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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.

Company Information

DOUCETTE FINANCIAL

CRD#: 334941

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