Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Henderson is an investment advisor representative currently registered with RBC Capital Markets, LLC. Douglas has been active in the industry since 1994 and is registered in several states, including Connecticut, Texas, California, and New York. Douglas has experience at several investment firms, including Foreside Fund Services, LLC, Weeden & Co., LP, and J.P. Morgan Securities Inc. Douglas is a licensed investment advisor and offers a range of investment services including financial planning, portfolio management, and pension consulting.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CT
03/03/2021 - Present
RBC Capital Markets, LLC (STAMFORD CT)
CT
07/26/2017 - 02/12/2020
FORESIDE FUND SERVICES, LLC (Norwalk CT)
CT
01/03/2006 - 02/21/2017
WEEDEN & CO.L.P. (GREENWICH CT)
NY
02/17/2004 - 09/22/2005
FULCRUM GLOBAL PARTNERS LLC (NEW YORK NY)
CT
04/07/2003 - 01/22/2004
SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)
NY
05/01/2001 - 03/24/2003
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
07/29/1998 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NJ
01/05/1998 - 08/26/1998
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
05/29/1996 - 01/06/1998
SALOMON BROTHERS INC. (NEW YORK NY)
CA
09/16/1994 - 05/31/1996
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
TX
03/08/1994 - 09/21/1994
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 12/29/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/10/1994
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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