Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas L. Fecci is a financial advisor with over 34 years of experience in the industry. Douglas has a broad range of experience in the financial services industry, having worked at firms such as Morgan Stanley & Co. Incorporated, Bear, Stearns & Co. Inc., and Oppenheimer & Co. Inc. Douglas is currently registered with Wealthpenn.comllc, a firm with over $10 billion to $50 billion in assets under management. Douglas holds multiple licenses and certifications, including Series 7, Series 10, Series 9, and Series 14, as well as the Securities Industry Essentials Exam (SIE).
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
05/15/2020 - Present
Wealthpenn.comllc (New York NY)
NY
01/14/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
08/09/2004 - 01/24/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
01/03/2003 - 08/13/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
11/11/1996 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
02/15/1994 - 11/05/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/08/1991 - 01/22/1994
THE WINCHESTER GROUP, INC. (NEW YORK NY)
NA
01/26/1989 - 10/01/1991
THE STAMFORD COMPANY, INC.
NA
05/21/1987 - 01/26/1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
BC
Issued 6/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/25/1990
Series 14 - Compliance Officer Examination
BC
Issued 10/28/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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