Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Edward Bantum is a financial professional with over 29 years of experience in the securities industry. Douglas is currently registered with Wallachbeth Capital LLC, a firm with a strong focus on investment banking. Douglas is a Series 7, 24, 52TO, 63, and 79TO licensed professional. He is a dedicated financial advisor, and he is committed to providing his clients with personalized financial planning services to help them achieve their financial goals. He also holds registrations in multiple states.
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.
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2
NJ
07/02/2012 - Present
Wallachbeth Capital LLC (JERSEY CITY NJ)
NY
05/10/2012 - 06/07/2012
XZERTA TRADING, LLC (NEW YORK NY)
NY
09/09/2011 - 06/07/2012
AURIGA USA, LLC (NEW YORK NY)
NY
07/17/2009 - 09/22/2011
CAPSTONE INVESTMENTS (NEW YORK NY)
NY
06/26/2007 - 07/30/2009
WEDBUSH MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/28/2005 - 06/27/2007
BROOKSTREET SECURITIES CORPORATION (NEW YORK NY)
NY
03/09/2002 - 05/11/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
08/19/1997 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
07/05/1995 - 09/16/1997
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
11/10/1994 - 07/18/1995
SMITH BARNEY INC. (NEW YORK NY)
NJ
03/29/1994 - 08/08/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 04/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/03/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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