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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Cowles is a financial advisor with over 30 years of experience in the industry. Douglas currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. and is registered to provide investment advice in 30 states. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Douglas worked at Bank of America Investment Services, Inc. for 10 years, and previously worked at NationsBanc Montgomery Securities LLC, Atlas Securities, Inc. and Bank of America Investment Services, Inc.. Douglas has a wide range of experience serving clients including high-net-worth individuals, corporations, charitable organizations, and pension plans.
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
CA
07/12/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
04/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
NY
10/26/1998 - 04/12/1999
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
CA
03/04/1993 - 10/29/1998
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
CA
11/14/1989 - 05/13/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
01/24/1992 - 04/14/1993
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
BOTH
Issued 05/13/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/27/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/13/1992
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
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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