Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Rogers is a financial professional with over 20 years of experience in the financial services industry. Douglas has a broad range of experience working with clients across various financial institutions, including Merriman Capital, Inc., Market Wise Securities, Inc., and Dean Witter Reynolds Inc. Currently, Douglas is a registered representative with Pickwick Capital Partners, LLC. Douglas holds a variety of licenses including Series 7, 24, 31, 63, 65, 66, 79, 99TO, and SIE. Douglas has demonstrated a strong commitment to meeting the financial needs of individuals and businesses.
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.
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.
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2
NY
08/07/2019 - Present
Pickwick Capital Partners, LLC (WHITE PLAINS NY)
MN
04/08/2019 - 05/30/2019
CRAIG-HALLUM CAPITAL GROUP LLC (MINNEAPOLIS MN)
CA
02/09/2015 - 05/23/2018
THE BENCHMARK COMPANY, LLC (San Francisco CA)
NY
10/23/2012 - 01/26/2015
MERRIMAN CAPITAL, INC. (NEW YORK NY)
IL
01/14/1999 - 05/01/2000
MARKET WISE SECURITIES, INC. (CHICAGO IL)
NY
12/16/1996 - 06/20/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 02/12/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/09/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 05/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/22/2012
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1997
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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