Duglas H. Barnett
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.
Duglas Henrie Barnett, who also goes by Doug Barnett, Douglas Henrie Barnett, Dug Barnett, Duglas H Barnett, Duglas Henrit Barnett, was a registered financial professional .
Duglas is a previously registered financial professional and started their career in finance in 1979. Duglas had worked at 6 firms and has passed the Series 63, Series 7, 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
January 3, 2011 - December 20, 2012
DUG BARNETT & ASSOCIATES, LLC
June 6, 1994 - December 31, 1997
WMA SECURITIES, INC.
July 22, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 1991 - July 10, 1992
U.S. SECURITIES CLEARING CORP.
July 14, 1987 - May 1, 1989
WALL STREET PACIFIC FINANCIAL RESOURCES, INC.
October 24, 1979 - January 30, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
DUG BARNETT & ASSOCIATES, LLC
CRD#: 155853 / SEC#:
Contact information
Red Flags
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