Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Chin is a financial advisor with LPL Financial LLC. Douglas has been in the financial services industry since 1983, and has been a registered representative since 1983. Douglas has extensive experience in the industry, having previously worked at Morgan Stanley Smith Barney and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Douglas is a Registered Representative and Investment Advisor Representative in the states of California, Colorado, Connecticut, Florida, Georgia, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Texas, Vermont and Virginia. Douglas is also a registered principal with LPL Financial LLC. Douglas is a Series 65 and 63 licensed individual and has earned the Series 7, 10 and 9 certifications as well.
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.
Consulting and other non-discretionary advisory services
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
NJ
09/30/2021 - Present
LPL Financial LLC (RED BANK NJ)
NJ
02/17/2012 - 10/26/2021
MORGAN STANLEY (Red Bank NJ)
NJ
07/02/1991 - 02/21/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EDISON NJ)
NY
03/23/1988 - 07/02/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
06/22/1983 - 03/29/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 11/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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