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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 Jason Hockett is a financial advisor with over 20 years of experience in the industry. Douglas is currently registered with Stifel, Nicolaus & Company, Inc. and is licensed in 25 states. Douglas previously worked with Morgan Stanley and Citigroup Global Markets Inc. Douglas specializes in providing financial planning, investment management, and pension consulting services to a variety of clients, including high net worth individuals, corporations, and other institutions. Douglas is committed to providing his clients with personalized financial advice and guidance to help them 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.
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.
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
WY
10/18/2021 - Present
Stifel, Nicolaus & Company, Inc. (SHERIDAN WY)
CO
06/01/2009 - 10/15/2021
MORGAN STANLEY (Greenwood Village CO)
WY
02/03/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHERIDAN WY)
NY
09/30/1999 - 02/07/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
MI
04/05/1999 - 07/29/1999
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 03/02/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/13/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 05/27/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/01/1999
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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