Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Stephan King is a financial advisor with over 35 years of experience in the financial services industry. Douglas is registered with Oakwood Capital, Inc. and holds a wide range of licenses and designations, including Series 7, 63, 65, 9, 10, 14, 24, and 52TO. Douglas is also a Certified Financial Planner. Douglas specializes in providing financial planning and wealth management services to individuals and small businesses. Douglas has extensive experience in managing investment portfolios, insurance and annuities, and business consulting.
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.
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
MN
01/12/2021 - Present
Oakwood Capital, Inc. (ST. LOUIS PARK MN)
MN
05/10/2012 - 12/04/2018
CETERA ADVISOR NETWORKS LLC (WAYZATA MN)
MN
07/16/1986 - 01/28/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MINNEAPOLIS MN)
NA
07/23/1985 - 06/12/1986
FIRST JERSEY SECURITIES, INC.
IA
Issued 01/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/30/2020
Series 24 - General Securities Principal Examination
BC
Issued 08/11/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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