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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 James Vollmer is an Investment Advisor Representative with over 50 years of experience in the financial services industry. Douglas has been with Wells Fargo Clearing Services, LLC, since 2009 and has held various roles at the firm, including Investment Advisor Representative. He is also registered in 18 states and has Series 63, 65 and several other licenses. Douglas has a proven track record of success in helping individuals and families achieve their financial goals.
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
CA
10/20/2016 - Present
Wells Fargo Clearing Services, LLC (PALM DESERT CA)
NY
05/15/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
07/13/1992 - 04/03/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/05/1978 - 07/10/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/18/1978 - 04/08/1978
LOEB PARTNERS
NA
06/15/1977 - 01/18/1978
LOEB RHOADES & CO. INC.
NA
04/12/1976 - 06/11/1977
G. TSAI & COMPANY, INC.
NA
03/01/1971 - 04/11/1976
DEAN WITTER & CO. INCORPORATED
IA
Issued 02/04/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 42 - Registered Options Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1971
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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