Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas McPherson is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has been in the financial services industry since 1989. Douglas holds Series 7, 22, 31, 39, 62, 63, and 65 licenses and is registered with the state of California. Douglas is also registered with the state of Texas as an investment advisor representative. Prior to joining Merrill Lynch, Douglas worked at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Paine Webber Incorporated, Chadwick Securities, Inc., and Wentworth Securities, Inc.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
CA
06/01/2009 - 07/26/2012
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
10/15/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
NY
08/11/1993 - 10/26/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
06/22/1992 - 08/12/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
11/16/1990 - 06/02/1992
CHADWICK SECURITIES, INC. (ALISO VIEJO CA)
NA
01/23/1990 - 11/28/1990
WENTWORTH SECURITIES, INC.
NA
03/21/1989 - 01/30/1990
REMINGTON SECURITIES, INC.
IA
Issued 09/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/1991
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 08/13/1992
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1992
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 03/16/1989
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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