Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Paul Caesare is a financial advisor with over 25 years of experience in the financial services industry. Douglas is currently registered with LPL Financial LLC and has previously held positions at Grove Point Investments, LLC, Sorrento Pacific Financial, LLC, and IFMG Securities, Inc. Douglas holds the Series 7, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials Examination (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.
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CA
01/10/2022 - Present
LPL Financial LLC (SANTA ROSA CA)
CA
11/24/2021 - 01/10/2022
GROVE POINT INVESTMENTS, LLC (Santa Rosa CA)
CA
08/15/2011 - 12/06/2021
LPL FINANCIAL LLC (SANTA ROSA CA)
CA
01/19/2011 - 08/26/2011
SORRENTO PACIFIC FINANCIAL, LLC (SANTA ROSA CA)
CA
03/04/2008 - 01/31/2011
LPL FINANCIAL LLC (SANTA ROSA CA)
CA
03/22/2005 - 03/04/2008
IFMG SECURITIES, INC. (CLOVERDALE CA)
FL
12/20/2002 - 03/21/2005
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
11/12/2002 - 12/20/2002
FOOTHILL SECURITIES, INC. (SANTA CLARA CA)
NY
10/25/2001 - 06/06/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
07/24/1998 - 10/12/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
03/13/1997 - 07/28/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
01/13/1997 - 02/14/1997
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
09/14/1995 - 01/29/1997
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
05/06/1994 - 08/23/1995
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 05/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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