Douglas J. Bender
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 John Bender, who also goes by Douglas J Bender, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1977. Douglas had worked at 5 firms and has passed the Series 65, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2007 - March 1, 2018
MCQUEEN, BALL & ASSOCIATES INC.
March 4, 2005 - February 15, 2006
PENSON FINANCIAL SERVICES, INC.
November 2, 1994 - October 8, 2004
GLEACHER & COMPANY SECURITIES, INC.
February 4, 1985 - April 19, 1993
LEHMAN BROTHERS INC.
April 1, 1977 - January 25, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
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
MCQUEEN, BALL & ASSOCIATES INC.
CRD#: 104663 / SEC#: 801-21989
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.
