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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Harley Amstutz has been in the financial services industry since 1976 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Douglas has a wide range of experience in the industry, having worked previously with Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Douglas has held various licenses and designations over the years, including Series 3, 5, 7, 9, 10, 15, 31, 63, and 65. Douglas also holds a Series 8 license. Douglas is currently registered in 29 states as a Registered Representative and in 2 states as an Investment Advisor Representative. Douglas holds a variety of specializations and provides a wide range of financial services. Douglas is committed to providing clients with personalized financial advice and 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.
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
CA
11/18/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BAKERSFIELD CA)
NY
01/28/1985 - 07/30/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/26/1978 - 02/12/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
04/01/1976 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 12/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/1980
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 10/07/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2012
Series 3 - National Commodity Futures Examination
BC
Issued 01/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 03/20/1976
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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