Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Bruce Smith is a financial advisor registered with Edelman Financial Engines. Douglas has been working in the financial services industry since 1987. Douglas has a Series 7, Series 63, and Series 65 licenses. Douglas has experience working with individuals, businesses, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
Set-up fees & related svcs; reimbursements for printed materials
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2
WA
10/07/2022 - Present
Edelman Financial Engines (FEDERAL WAY WA)
OR
09/28/2012 - 10/11/2022
E*TRADE SECURITIES LLC (Portland OR)
ME
03/09/2009 - 01/09/2012
FORESIDE FUND SERVICES, LLC (PORTLAND ME)
NY
01/16/2007 - 11/17/2008
MBSC SECURITIES CORPORATION (NEW YORK NY)
NY
09/11/2000 - 01/29/2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
CA
11/02/1998 - 06/05/2000
DUERR FINANCIAL CORPORATION (CHINO HILLS CA)
CA
08/23/1995 - 06/10/1998
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
04/06/1993 - 08/01/1995
MURPHEY FAVRE, INC. (IRVINE CA)
VA
06/06/1991 - 04/21/1993
GNA SECURITIES, INC. (GLEN ALLEN VA)
NY
01/21/1987 - 05/15/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/23/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
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