Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Neubrand is a financial advisor with over 30 years of experience in the industry. Douglas is currently registered with Wells Fargo Clearing Services, LLC and is licensed in California. Douglas has previously been affiliated with several firms including Charles Schwab & Co., Inc., DMG Securities, Inc. and JWGenesis Financial Services, Inc.. Douglas is a Series 7, 10, 14, 24, 27, 53, 63 and 65 licensed advisor. Douglas also provides FINRA dispute resolution services.
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.
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.
Investment consulting services to institutional clients
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
MO
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
CA
09/21/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
05/09/2003 - 09/19/2006
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
TX
08/25/2000 - 12/31/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
VA
11/12/1998 - 05/12/2000
DMG SECURITIES, INC. (GREAT FALLS VA)
MO
11/12/1998 - 05/12/2000
JWGENESIS FINANCIAL SERVICES, INC. (ST. LOUIS MO)
FL
11/12/1998 - 05/12/2000
JWGENESIS SECURITIES, INC. (BOCA RATON FL)
FL
11/12/1998 - 06/30/1999
JW GENESIS CLEARING CORP. (BOCA RATON FL)
NY
06/09/1997 - 07/06/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/30/1995 - 05/20/1997
AIG EQUITY SALES CORP. (NEW YORK NY)
CA
07/31/1987 - 01/22/1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
11/19/1985 - 12/24/1985
TITAN CAPITAL CORPORATION
IA
Issued 07/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/04/2002
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/25/1999
Series 14 - Compliance Officer Examination
BC
Issued 02/23/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/02/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/20/1999
Series 4 - Registered Options Principal Examination
BC
Issued 05/08/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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