Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Pi is a financial advisor with over 40 years of experience in the industry. Douglas is currently registered with Equity Services, Inc. and has also held previous positions with Ameritas Investment Company, LLC, AXA Advisors, LLC, WBB Securities, LLC, Raymond James Financial Services, Inc., UBS Financial Services Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Smith Barney, Harris Upham & Co., Incorporated. Douglas holds several licenses including Series 3, 7, 63, and 65, as well as the Securities Industry Essentials (SIE) exam. Douglas's experience includes working with high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations and individuals other than high-net-worth. Douglas's services include financial planning, portfolio management for individuals, selection of other advisers, educational seminars, and pension consulting.
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.
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.
1
2
NY
10/13/2021 - Present
Equity Services, Inc. (MELVILLE NY)
NY
02/21/2017 - 10/28/2021
AMERITAS INVESTMENT COMPANY, LLC (MELVILLE NY)
NY
02/04/2014 - 03/01/2017
AXA ADVISORS, LLC (WOODBURY NY)
NY
09/14/2010 - 12/31/2013
WBB SECURITIES, LLC (GARDEN CITY NY)
NY
04/08/2008 - 09/13/2010
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)
FL
07/22/2005 - 04/21/2008
UBS FINANCIAL SERVICES INC. (ORLANDO FL)
NY
07/31/1993 - 08/05/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/05/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/09/1985 - 03/11/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
01/27/1982 - 08/19/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
04/13/1981 - 02/02/1982
BACHE HALSEY STUART SHIELDS INCORPORATED
IA
Issued 02/11/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1988
Series 3 - National Commodity Futures Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Douglas Pi is the right advisor for you? Invested Better is here to help.
