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 professional with over 30 years of experience in the industry. Douglas is currently registered with Wells Fargo Securities, LLC and has been active in the securities industry since 1984. Douglas has worked at several firms over the years, including Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Shearson Inc., Prudential Securities Incorporated, and Wells Fargo Brokerage Services, L.L.C. Douglas has a broad range of experience in the securities industry and is licensed to sell a variety of financial products, including securities, futures, and municipal securities. Douglas is a licensed Series 3, 7, 63, 65, and SIE. Douglas has a deep understanding of the financial markets and is committed to providing his clients with the highest level of service and expertise.
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.
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.
1
2
WA
11/06/2009 - Present
Wells Fargo Securities, LLC (Seattle WA)
WA
12/14/2000 - 11/06/2009
WELLS FARGO BROKERAGE SERVICES, L.L.C. (SEATTLE WA)
NY
05/11/1994 - 12/19/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/06/1993 - 05/24/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
08/04/1988 - 08/20/1993
LEHMAN BROTHERS INC.
NY
09/29/1987 - 08/20/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/21/1984 - 06/22/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/06/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1988
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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