Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Ogden Elliott is a financial advisor with over 38 years of experience in the industry. Douglas is currently registered with LPL Financial LLC and has also previously worked for Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Wachovia Securities, LLC, A. G. Edwards & Sons, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Douglas holds a variety of licenses and certifications including Series 63, 65, 7, 9, 10, 31, and 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.
Consulting and other non-discretionary advisory services
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
TX
09/19/2024 - Present
LPL Financial LLC (HOUSTON TX)
TX
10/05/2009 - 02/01/2011
AMERIPRISE FINANCIAL SERVICES, INC. (SUGAR LAND TX)
TX
04/17/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SUGAR LAND TX)
TX
01/01/2008 - 04/20/2009
WACHOVIA SECURITIES, LLC (SUGAR LAND TX)
TX
08/12/1991 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SUGAR LAND TX)
NY
04/27/1985 - 08/20/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/27/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/22/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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