Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Wayne Tenny is a financial advisor who has been in the industry for over 30 years. Douglas is currently registered with UBS Financial Services Inc. and has been with the firm since 2010. Prior to joining UBS Financial Services Inc., Douglas was with WELLS FARGO INVESTMENTS, LLC and MORGAN STANLEY DW INC. Douglas is a licensed investment advisor in California and Texas. Douglas has a Series 7, Series 3, Series 63 and Series 65 license. Douglas specializes in retirement planning, investment management, financial planning and college savings.
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.
See schedule d - miscellaneous
1
2
CA
02/01/2019 - Present
UBS Financial Services Inc. (INDIAN WELLS CA)
CA
12/06/2004 - 10/20/2010
WELLS FARGO INVESTMENTS, LLC (PALM DESERT CA)
NY
01/29/1990 - 12/07/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/24/1985 - 02/03/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 06/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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