Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Kirkpatrick Brockway is a financial professional with over 25 years of experience in the industry. Douglas has a broad range of experience, having worked at firms such as Alex. Brown & Sons Incorporated, Deutsche Bank Securities Inc., and SG Cowen Securities Corporation. Douglas is currently a registered representative with Stephens. Douglas holds the Series 7, 24, 62, 63, and SIE licenses. Douglas is registered in Arkansas and Massachusetts.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MA
02/12/2013 - Present
Stephens (BOSTON MA)
MA
10/21/2011 - 11/02/2012
THINKEQUITY LLC (BOSTON MA)
MA
12/09/2008 - 10/14/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BOSTON MA)
MA
06/16/2004 - 12/16/2008
INNOVATION ADVISORS LLC (WALTHAM MA)
NY
02/14/2003 - 06/24/2004
DOUGLAS FINANCIAL LLC (NEW YORK NY)
NY
06/13/2000 - 02/21/2002
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
06/14/1999 - 05/25/2000
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/01/1997 - 06/14/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
12/02/1994 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BC
Issued 07/16/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/02/1994
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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