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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

DOUGLAS ALAN UMMEL

Advisor at WELLINGTON INVESTMENT ADVISORS

BLOOMINGTON, IN

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Search this name across graphsid dfx:ria:dd286bea-f035-4669-cc89-19bbc31caf73

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLINGTON INVESTMENT ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 16, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 16, 1998
First registration: Dec 16, 2002
Dual registered: yes, broker-dealer
Other names: ARCHIE UMMEL
IAPD individual key: 3052458

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLINGTON INVESTMENT ADVISORS	Independent wealth	Aug 16, 2016	n/a	yes	BLOOMINGTON, IN	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 21, 2011	Sep 2, 2016	no	BLOOMINGTON, IN\|BLOOMINGTON, IN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jan 24, 2011	no	BLOOMINGTON, IN	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Mar 31, 2004	Jan 2, 2009	no	FRANKLIN, TN\|BLOOMINGTON, IN\|FRANKLIN, TN\|FRANKLIN, TN	Previous registration
MORGAN STANLEY DW INC.	n/a	Dec 16, 2002	Sep 10, 2003	no	BRENTWOOD, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	WELLINGTON INVESTMENT ADVISORS	Sep 2, 2016	Aug 16, 2016	-17	Firm change	Wirehouse to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WELLS FARGO ADVISORS	Jan 24, 2011	Jan 21, 2011	-3	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Sep 10, 2003	Mar 31, 2004	203	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
11025:283853:IN:2016-09-02	Sep 2, 2016	Aug 16, 2016	BLOOMINGTON, IN	Firm change

Relationships

Registered with (5)

→ WELLINGTON INVESTMENT ADVISORSRegistered adviserregistration: current employment
Aug 16, 2016 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 21, 2011 to Sep 2, 2016factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jan 24, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 31, 2004 to Jan 2, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Dec 16, 2002 to Sep 10, 2003factForm ADV

Dated events

No dated event names this entity yet.