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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 Mick is a financial advisor with over 40 years of experience in the industry. Douglas is currently registered with Raymond James & Associates, Inc. and has been with the firm since September 2009. Prior to joining Raymond James, Douglas held positions at WELLS FARGO INVESTMENTS, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and PRUDENTIAL SECURITIES INCORPORATED. Douglas specializes in providing financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions. Douglas has earned licenses including Series 7, 8, 9, 10, 15, 63 and 65, as well as the SIE Exam. Douglas is registered to provide investment advice in multiple states.
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.
Please see note in schedule d - miscellaneous
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
IN
10/09/2012 - Present
Raymond James & Associates, Inc. (ELKHART IN)
IN
07/15/2005 - 10/05/2009
WELLS FARGO INVESTMENTS, LLC (ELKHART IN)
NY
10/05/1998 - 05/12/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/23/1980 - 10/09/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/19/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/1994
Series 5 - Interest Rate Options Examination
BC
Issued 10/26/1994
Series 15 - Foreign Currency Options Examination
BC
Issued 09/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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