Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas J. Pumphrey is a registered representative with Broadridge Business Process Outsourcing, LLC. Douglas has been in the securities industry since June 26, 2006. Previously, Douglas was employed by Wells Fargo Advisors, LLC and Wells Fargo Investments, LLC. Douglas has a Series 66, Series 7 and SIE license. Douglas is currently registered in Colorado.
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
CO
06/26/2013 - Present
Broadridge Business Process Outsourcing, LLC (DENVER CO)
CO
01/03/2011 - 06/12/2012
WELLS FARGO ADVISORS, LLC (DENVER CO)
CO
06/14/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (DENVER CO)
BOTH
Issued 07/19/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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