Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Dickson is a financial professional with over 25 years of experience in the financial services industry. Douglas is currently a Registered Principal at Merrill Lynch, Pierce, Fenner & Smith Inc. and has held this position since 2009. Prior to that, Douglas worked at BANC OF AMERICA INVESTMENT SERVICES, INC. from 1997 to 2009. Douglas is a Series 4, 7, 24, 52TO, 53 and 63 licensed professional and specializes in various investment areas. Douglas can help clients with their investment needs by providing them with a wide range of products and services. Douglas is committed to providing excellent customer service and helping clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NC
03/12/1997 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BC
Issued 03/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2005
Series 4 - Registered Options Principal Examination
BC
Issued 03/06/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/02/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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