Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Johnson is a financial advisor who has been in the industry for over 30 years. Douglas is currently registered with TD Private Client Wealth LLC and is licensed to conduct business in New York. Douglas has a strong background in the financial services industry with previous experience at firms such as ARETE WEALTH MANAGEMENT, LLC, NATIONAL SECURITIES CORPORATION, and EQUITABLE ADVISORS, LLC. Douglas specializes in providing financial planning and investment advice to individuals, corporations, and charitable organizations. Douglas holds the Series 7, Series 63, Series 65 and Series 66 securities licenses, in addition to the SIE exam.
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.
A percentage of the total value of assets under management is charged.
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2
NY
10/04/2023 - Present
TD Private Client Wealth LLC (NEW YORK NY)
NY
07/20/2022 - 10/02/2023
ARETE WEALTH MANAGEMENT, LLC (Melville NY)
NY
12/21/2020 - 07/21/2022
NATIONAL SECURITIES CORPORATION (MELVILLE NY)
NY
11/10/2017 - 07/21/2020
EQUITABLE ADVISORS, LLC (NEW YORK NY)
NY
07/14/2014 - 03/30/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (GARDEN CITY NY)
NY
02/20/2013 - 06/13/2014
WELLS FARGO ADVISORS, LLC (MELVILLE NY)
NY
05/06/2011 - 01/09/2013
CAPSTONE INVESTMENTS (NEW YORK NY)
NY
10/01/2008 - 03/07/2011
CARIS & COMPANY, INC. (NEW YORK NY)
NY
02/29/2008 - 07/03/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
10/29/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
05/18/2004 - 11/02/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
11/03/2000 - 04/09/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
09/27/1991 - 07/12/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 03/18/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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