Micah C. Douglas
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.
Micah Calvin Douglas, who also goes by Mike Douglas, was a registered financial professional .
Micah is a previously registered financial professional and started their career in finance in 1977. Micah had worked at 14 firms and has passed the Series 63 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
July 2, 1996 - September 3, 1996
CANTELLA & CO., INC.
August 2, 1995 - April 18, 1996
TAYLOR, PRUITT & SYLVESTER, INC.
June 7, 1994 - January 18, 1995
DESHLER-MORRIS SECURITIES, INC.
December 1, 1992 - August 17, 1993
FIRST AFFILIATED SECURITIES
April 6, 1992 - June 12, 1992
GSC SECURITIES, INC.
March 31, 1992 - June 12, 1992
GOVERNMENT SECURITIES CORPORATION
May 13, 1991 - April 3, 1992
M.G.S.I. SECURITIES, INC.
September 19, 1990 - December 7, 1990
KOBER FINANCIAL CORP.
November 4, 1989 - September 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
June 10, 1988 - September 23, 1989
CIBC WORLD MARKETS CORP.
February 18, 1987 - July 18, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
October 29, 1984 - January 27, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 7, 1983 - November 5, 1984
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - November 18, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
