Douglas M. Angstrom
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 Merle Angstrom, who also goes by Douglas M Angstrom, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1978. Douglas had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 15, Series 5, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2024 - June 4, 2025
INTERCONTINENTAL REAL ESTATE CORPORATION
February 25, 2014 - December 31, 2015
MONARCH BAY ADVISORS, LLC
February 25, 2013 - June 12, 2023
BOUSTEAD SECURITIES, LLC
February 6, 2013 - February 21, 2013
CALTON & ASSOCIATES, INC.
March 23, 2012 - February 21, 2013
CALTON & ASSOCIATES, INC.
February 28, 2011 - January 24, 2013
BREAKWATER INVESTMENT GROUP, LLC
February 19, 2009 - April 12, 2012
CHOICE INVESTMENTS, INC.
January 10, 2002 - February 19, 2008
GOLDMAN SACHS & CO. LLC
December 7, 2000 - January 9, 2002
SANFORD C. BERNSTEIN & CO., LLC
January 24, 2000 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
June 11, 1993 - December 8, 1999
PRINCIPAL SECURITIES, INC.
October 14, 1986 - December 31, 1987
DICKINSON & CO.
August 14, 1984 - October 16, 1986
ANGSTROM INVESTMENT SECURITIES, INC.
July 28, 1984 - August 13, 1984
BROKER DEALER FINANCIAL SERVICES CORP.
December 10, 1981 - July 2, 1984
LEHMAN BROTHERS INC.
December 4, 1981 - June 20, 1984
LEHMAN BROTHERS INC.
February 26, 1980 - December 5, 1981
DICKINSON & CO.
November 19, 1979 - February 29, 1980
GELDERMANN SECURITIES INC.
July 24, 1978 - December 9, 1979
DICKINSON & CO.
Primary Firm SEC Registration
INTERCONTINENTAL REAL ESTATE CORPORATION
CRD#: 112332 / SEC#: 801-56643
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 15
Date: 12/3/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/11/1981
Interest Rate Options ExaminationCurrent Firm
INTERCONTINENTAL REAL ESTATE CORPORATION
CRD#: 112332 / SEC#: 801-56643
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 12,577,075,260 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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