Douglas P. Mikel
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 Peter Mikel was a registered financial advisor .
Douglas is a previously registered financial advisor and started their career in finance in 1977. Douglas had worked at 16 firms and has passed the Series 63, Series 6 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
May 2, 2014 - August 4, 2014
NATIONAL PLANNING CORPORATION
January 1, 1999 - November 2, 2004
OSAIC FA, INC.
October 30, 1995 - November 2, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 30, 1995 - November 2, 2004
OSAIC FA, INC.
December 23, 1994 - October 18, 1995
EQUITY SERVICES, INC.
September 15, 1993 - April 11, 1994
BMA FINANCIAL SERVICES, INC.
June 25, 1992 - August 27, 1993
EQUITY SERVICES, INC.
October 19, 1990 - December 3, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 19, 1990 - December 3, 1990
PRUCO SECURITIES, LLC.
June 15, 1989 - August 28, 1990
FIRST EAGLE, INC.
February 5, 1985 - May 3, 1989
SECURITIES USA, INC.
January 11, 1985 - February 27, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
April 3, 1984 - December 28, 1984
J.D. COPPERFIELD, LTD.
February 28, 1984 - December 27, 1984
J. W. GANT & ASSOCIATES, INC.
September 20, 1983 - February 23, 1984
BLINDER, ROBINSON & CO., INC.
May 11, 1981 - October 4, 1983
CENTENNIAL STATE SECURITIES, INC.
April 21, 1980 - May 26, 1981
G. S. OMNI CORPORATION
July 1, 1977 - May 30, 1980
J DANIEL BELL & COMPANY, 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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
