Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Hornberger is an investment professional with over 40 years of experience in the financial services industry. Douglas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as an Investment Advisor Representative in North Carolina, South Carolina, and Texas. Douglas has a diverse background, having passed numerous industry exams including Series 3, 5, 7, 8, 9, 10, 63, and 65, as well as the Securities Industry Essentials Examination.
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
SC
11/12/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MOUNT PLEASANT SC)
IA
Issued 08/29/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/30/1982
Series 5 - Interest Rate Options Examination
BC
Issued 02/20/1982
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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