Douglas Falkinburg is a CFP-designated registered investment advisor, based in Fairhope, AL, with 23 years of industry experience.
Location
504 Fairhope Avenue, Fairhope, AL, 36532
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLCBroker
August 2022 - Present · 3 yrs 9 mos
Cetera Investment Advisers LLC
August 2022 - Present · 3 yrs 9 mos
Previous Registrations
Hancock Whitney Investment Services INC.Broker
July 2010 - August 2022 · 12 yrs 1 mo
Hancock Whitney Investment Services INC.
July 2010 - August 2022 · 12 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2009 - January 2010 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2007 - January 2010 · 2 yrs 3 mos
Banc of America Investment Services, INC.
March 2007 - October 2007 · 7 mos
Banc of America Investment Services, INC.Broker
November 2006 - October 2007 · 11 mos
Uvest Financial Services Group, INC.Broker
October 2006 - November 2006 · 1 mo
Wachovia Securities, LLCBroker
March 2005 - August 2006 · 1 yr 5 mos
Merrill Lynch Pierce Fenner & Smith INC.
September 2004 - October 2004 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2001 - October 2004 · 3 yrs 7 mos
State Registrations7 states
ALARCAFLLAMSNC
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.