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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 Mobley is a financial advisor who has been in the industry since 2008. Douglas is currently registered with Raymond James & Associates, Inc. Previously, Douglas was registered with Morgan Keegan & Company, Inc. and Fortis Investors, Inc.. Douglas is a Series 6, 7, 63, 52TO, 6TO, 79TO, and SIE licensed advisor. Douglas is registered in 14 states. Douglas specializes in providing investment advice and financial planning to individuals, high-net-worth individuals, corporations, and other businesses. Douglas's clients have access to a variety of investment products and services. Douglas holds registrations for a number of services including financial planning, educational seminars, selection of other advisors, and portfolio management.
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
FL
04/10/2012 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TN
09/03/2008 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
MN
09/30/1996 - 04/22/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
BC
Issued 04/27/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative 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 09/02/2008
Series 7 - General Securities Representative Examination
BC
Issued 09/27/1996
Series 6 - Investment Company Products/Variable Contracts 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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