Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Garban is a financial advisor with SPC. Douglas has been in the financial services industry since 1990. Douglas is a Registered Representative and Investment Advisor Representative. Douglas has been registered with SPC since March 22, 2018.
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.
Consultation 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.
A percentage of the total value of assets under management is charged.
Seminar attendance fees
1
2
PA
03/22/2018 - Present
SPC (State College PA)
MI
01/18/2018 - 04/06/2018
REGULUS ADVISORS, LLC (KENTWOOD MI)
PA
01/19/2017 - 01/31/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STATE COLLEGE PA)
NY
07/31/1993 - 01/15/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/10/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/22/1990 - 06/11/1992
ALEX. BROWN & SONS INCORPORATED
NY
05/21/1987 - 04/09/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/02/2017
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/22/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/02/1993
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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