Douglas B. Baran
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 B Baran, who also goes by Douglas Bruce Baran, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1981. Douglas had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2016 - July 21, 2016
PRINCIPAL FUNDS DISTRIBUTOR, INC.
August 16, 2011 - April 13, 2016
PRINCIPAL SECURITIES, INC.
February 9, 2011 - April 11, 2011
FRANKLIN DISTRIBUTORS, LLC
October 31, 2007 - April 11, 2011
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
November 17, 2000 - February 12, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
May 3, 2000 - February 12, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 23, 1994 - July 15, 1996
MSI FINANCIAL SERVICES, INC.
October 5, 1993 - July 15, 1996
METROPOLITAN LIFE INSURANCE COMPANY
October 2, 1991 - December 31, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 10, 1990 - December 30, 1992
CIGNA CAPITAL BROKERAGE, INC.
April 29, 1987 - February 27, 1989
FINANCIAL SQUARE PARTNERS
March 15, 1983 - August 27, 1986
NEW ENGLAND SECURITIES
December 22, 1981 - June 19, 1984
VP DISTRIBUTORS LLC
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 1
Date: 1/28/1978
Registered Representative ExaminationCurrent Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
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.
