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DB

Douglass A. Bermingham

Some features on this profile are disabled
CRD#: 862740
DB

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.

Douglass Andrew Bermingham was a registered financial professional .

Douglass is a previously registered financial professional and started their career in finance in 1979. Douglass had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 7, 2017 - February 4, 2026

SPRING MOUNTAIN CAPITAL, LP

RIA
CRD#: 119126
West Windsor, NJ
Past

October 20, 2014 - March 11, 2015

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

May 29, 2014 - October 21, 2014

HALCYON CABOT PARTNERS, LTD.

BD
CRD#: 32664
NEW YORK, NY
Past

April 21, 2008 - June 6, 2012

BUTLER CAPITAL PARTNERS

BD
CRD#: 114242
OLD WESTBURY, NY
Past

December 1, 2003 - April 22, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

January 30, 2002 - February 4, 2003

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

March 3, 2000 - January 23, 2002

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

November 9, 1995 - March 16, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 7, 1994 - November 16, 1995

GRIGSBY & ASSOCIATES, INC.

BD
CRD#: 13364
SAN FRANCISCO, CA
Past

May 13, 1988 - March 7, 1989

SEATTLE-NORTHWEST SECURITIES CORPORATION

BD
CRD#: 10639
Past

April 8, 1980 - February 8, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 26, 1979 - April 25, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SM
SPRING MOUNTAIN CAPITAL, LP
SEVEN AND EIGHT INVESTMENTS | WEST HARLEM INNOVATION NETWORK | SPRING MOUNTAIN CAPITAL, LP | SPRING MOUNTAIN CAPITAL G.P., LLC (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT, LP (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT, LLC (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT

CRD#: 119126 / SEC#: 801-61805

RIA
Registered Investment Advisory firm - (2/18/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/18/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/25/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/12/1985
National Commodity Futures Examination

Current Firm

SM
SPRING MOUNTAIN CAPITAL, LP
SEVEN AND EIGHT INVESTMENTS | WEST HARLEM INNOVATION NETWORK | SPRING MOUNTAIN CAPITAL, LP | SPRING MOUNTAIN CAPITAL G.P., LLC (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT, LP (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT, LLC (RELYING ADVISER) | SMC FIXED INCOME MANAGEMENT

CRD#: 119126 / SEC#: 801-61805

RIA
Registered Investment Advisory firm - (2/18/2003 Approved)
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Contact information

Main Address
196 Princeton Highstown Road Suite 2a-1, West Windsor, NJ 08550
Mailing Address
40 W 51st Street Po Box 4510, New York, NY 10185
Phone number
(212) 292-8300
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SPRING MOUNTAIN CAPITAL, LP FORM ADV PART 2A (10/8/2025)

Regulatory assets under management

Total Number of Accounts676
AUM (Assets Under Management)$ 1,603,113,398

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.

Company Information

SPRING MOUNTAIN CAPITAL, LP

CRD#: 119126

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