Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Howard Douglas is a financial professional with over 25 years of experience in the industry. David is currently registered with Voya Retirement Advisors, LLC. David has held prior registrations with firms such as CETERA ADVISOR NETWORKS LLC, CETERA ADVISORS LLC, CETERA FINANCIAL SPECIALISTS LLC, CETERA INVESTMENT SERVICES LLC, FIRST ALLIED SECURITIES, INC., VALIC FINANCIAL ADVISORS, INC., FRANKLIN TEMPLETON FINANCIAL SERVICES CORP., FRANKLIN/TEMPLETON DISTRIBUTORS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and EDWARD JONES. David is currently active in Minnesota and Connecticut. David is licensed to provide securities and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MN
08/08/2023 - Present
Voya Retirement Advisors, LLC (Maple Grove MN)
CA
01/18/2022 - 05/31/2023
CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)
CO
01/18/2022 - 05/31/2023
CETERA ADVISORS LLC (GREENWOOD VILLAGE CO)
IL
01/18/2022 - 05/31/2023
CETERA FINANCIAL SPECIALISTS LLC (SCHAUMBURG IL)
MN
01/18/2022 - 05/31/2023
CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)
CA
01/18/2022 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
MN
02/25/2021 - 12/22/2021
VALIC FINANCIAL ADVISORS, INC. (EDINA MN)
CA
08/27/2019 - 10/15/2020
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. (SAN MATEO CA)
FL
10/12/2004 - 10/13/2020
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (ST. PETERSBURG FL)
NY
03/12/2004 - 09/17/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
07/24/2002 - 03/16/2004
EDWARD JONES (ST. LOUIS MO)
CA
10/01/1997 - 07/09/2002
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BOTH
Issued 03/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/30/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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