Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Levy is a registered representative with Wells Fargo Clearing Services, LLC. Douglas has been in the financial services industry since 1981. Douglas is registered in 27 states and the District of Columbia. Douglas is a Series 7, Series 63, Series 5 and Series 65 licensed representative. Douglas has experience with various financial products and services, including investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. Prior to joining Wells Fargo Clearing Services, LLC, Douglas worked with Lehman Brothers Inc., Smith Barney Shearson Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
07/31/1993 - 08/31/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
10/30/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/04/1984 - 11/07/1984
SUSSEX SECURITIES INCORPORATED
NA
02/23/1981 - 03/26/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 11/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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