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Douglas Michael Yones

Archipelago Securities LLC

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About Douglas Michael Yones

Douglas Michael Yones is a financial professional with over 25 years of experience in the securities industry. He is currently registered with Archipelago Securities LLC and has a broad range of experience, including roles at Vanguard Marketing Corporation and Olde Discount Corporation. Douglas holds several securities licenses including Series 7, 24, 52, 53 and 63. Douglas is a highly experienced financial professional with a proven track record of success in the industry.

Firm Information

Douglas Yones is currently registered with Archipelago Securities LLC. Archipelago Securities LLC is a Limited Liability Company formed on September 23, 1999. The firm is registered in California, Georgia, Illinois, Mississippi, New Jersey, and New York. They have one approved SEC registration and six approved state registrations. Archipelago Securities LLC has reported six Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

7

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Douglas Yones’s Registration & Firm History

NY

11/20/2015 - Present

Archipelago Securities LLC (New York NY)

PA

07/06/1998 - 11/16/2015

VANGUARD MARKETING CORPORATION (MALVERN PA)

MI

07/31/1997 - 03/24/1998

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BC

Issued 08/05/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/29/2004

Series 53 - Municipal Securities Principal Examination

BC

Issued 08/30/2002

Series 4 - Registered Options Principal Examination

BC

Issued 04/30/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/1997

Series 7 - General Securities Representative Examination

BC

Issued 07/30/1997

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Douglas Michael Yones.
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