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Registered advisor
D•••••• R••••• B••••
Feed of 09/14/2026
Also filed as Doug R••••• B••••
At current firm
10 y
since Dec 4, 2015
In the industry
35 y
since Sep 12, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2015 · Washington, Dc
- B••••••• C•••••• I••• formerMay 20, 2011 to Dec 4, 2015 · Washington, Dc
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 1, 2011 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedOct 1, 1997 to Apr 2, 2007 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to B••••••• C•••••• I•••left Jun 1, 2011, registered May 20, 2011 (-12 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address