DB
DB
Douglas Bauerband
28 Years of Experience
Toms River, NJ
4 DisclosuresBrokerSells Insurance
Douglas Bauerband is a registered investment advisor, based in Toms River, NJ, with 28 years of industry experience.
Location
1184 Fisher Blvd., Suite 1-D, Toms River, NJ, 08753
Get directionsHistory
Regulatory History (4)
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Regulatory
September 2024Final
Regulatory
March 2024Final
Employment Separation After Allegations
July 2023Customer Dispute
July 2023Withdrawn
Other Business ActivitiesSells Insurance
Douglas owns Alpha Omega Agency, selling property and casualty insurance, and also operates under the DBA name G Douglas FinancialGroup for insurance purposes, dedicating full-time hours to it. Additionally, Douglas is involved in various other activities including being a trustee for a senior care community, authoring books, and referring clients to a mortgage broker.
Employment History
Current Registrations
San Blas Securities LLC
May 2024 - Present · 2 yrs
San Blas Securities LLCBroker
May 2024 - Present · 2 yrs
G. Douglas Wealth Management
July 2023 - Present · 2 yrs 10 mos
Previous Registrations
Gradient Wealth Management
January 2023 - July 2023 · 6 mos
Gradient Securities, LLCBroker
January 2023 - July 2023 · 6 mos
Tfs Securities, INC.Broker
June 2012 - December 2022 · 10 yrs 6 mos
Tfs Advisory Services
June 2012 - December 2022 · 10 yrs 6 mos
Sagepoint Financial, INC.
October 2008 - June 2012 · 3 yrs 8 mos
Sagepoint Financial, INC.Broker
October 2008 - June 2012 · 3 yrs 8 mos
American General Securities Incorporated
February 2008 - October 2008 · 8 mos
American General Securities IncorporatedBroker
December 1998 - October 2008 · 9 yrs 10 mos
American General Securities IncorporatedBroker
October 1997 - November 1998 · 1 yr 1 mo
Uslife Equity Sales CORP.Broker
July 1997 - October 1997 · 3 mos
State Registrations9 states
DEGAMTNCNJPASCTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.