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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Man is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas has been in the securities industry for over 18 years and has experience providing investment advice to high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Douglas offers a wide range of financial services including portfolio management, financial planning, and educational seminars. Douglas is registered with the Securities and Exchange Commission (SEC) and has licenses in over 40 states.
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
NY
06/19/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CA
04/02/2007 - 10/16/2007
MORGAN STANLEY & CO., INCORPORATED (SAN FRANCISCO CA)
CA
02/12/2007 - 04/02/2007
MORGAN STANLEY DW INC. (SAN FRANCISCO CA)
CA
11/14/2005 - 02/06/2007
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
MA
03/21/2005 - 08/08/2005
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
03/21/2005 - 08/08/2005
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MN
08/27/2004 - 02/18/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/27/2004 - 02/18/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
07/08/2004 - 08/11/2004
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
BOTH
Issued 11/09/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2004
Series 7 - General Securities Representative Examination
BC
Issued 07/07/2004
Series 6 - Investment Company Products/Variable Contracts 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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