Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Pendleton Gaines is a financial advisor with over 40 years of experience in the industry. Gaines is currently registered with Stifel, Nicolaus & Company, Inc. and holds licenses in a variety of states. Gaines has a wide range of experience in the industry, including previous roles with A. G. Edwards & Sons, Inc., Shearson Lehman Hutton Inc. and E. F. Hutton & Company Inc. Gaines is committed to providing his clients with personalized financial advice and services.
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.
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
WA
02/20/2020 - Present
Stifel, Nicolaus & Company, Inc. (BELLEVUE WA)
CA
07/25/1989 - 09/19/2007
A. G. EDWARDS & SONS, INC. (ROSEVILLE CA)
NY
02/15/1988 - 08/21/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
08/06/1981 - 02/15/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 01/10/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1993
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1981
Series 7 - General Securities 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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