Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Neiman is a financial advisor who has been in the industry since 1992. Douglas is currently registered with Cetera Investment Advisers LLC. Prior to that, Douglas was registered with First Allied Securities, Inc., VOYA FINANCIAL ADVISORS, INC., ESSEX SECURITIES LLC, MML INVESTORS SERVICES, LLC, VERAVEST INVESTMENTS, INC., VALHALLA SECURITIES, INC., HAMBRECHT & QUIST LLC and ADVEST, INC.. Douglas is a registered representative and investment advisor representative.
SOMERS, CT
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.
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2
CT
06/29/2023 - Present
Cetera Investment Advisers LLC (SOMERS CT)
CA
06/10/2021 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (EL SEGUNDO CA)
CT
04/15/2015 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (WINDSOR CT)
CT
09/05/2014 - 01/07/2015
ESSEX SECURITIES LLC (Somers CT)
MA
01/21/2004 - 10/15/2013
MML INVESTORS SERVICES, LLC (SPRINGFIELD MA)
MA
12/04/1998 - 01/08/2004
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
NY
06/29/1998 - 11/03/1998
VALHALLA SECURITIES, INC. (NEW YORK NY)
CA
12/05/1996 - 06/24/1998
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
CT
05/16/1991 - 12/04/1996
ADVEST, INC. (HARTFORD CT)
BOTH
Issued 10/13/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/19/2016
Series 4 - Registered Options Principal Examination
BC
Issued 3/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 4/2/1993
Series 24 - General Securities Principal Examination
BC
Issued 1/15/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/15/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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