Individual Firm
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DOUGLAS BARRY ENGLISH
DOUGLAS B ENGLISH
CRD#: 2532448
IA
B
ACT ADVISORSCRD#: 173120 521 COLLEGE STREET
ASHEVILLE, NC 28801
ASHEVILLE, NC 28801
View By:
3/22/2024
Customer Dispute
Pending
State Registrations
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Alabama 3/20/2024
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South Carolina 11/19/2014
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New York 4/14/2021
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Texas 3/20/2024
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North Carolina 12/22/2014
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Virginia 3/20/2024
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Registered with this firm since 11/19/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/30/2006 - 02/23/2021 | ASHEVILLE, NC | |
IA | 10/30/2006 - 12/22/2014 | ASHEVILLE, NC | |
IA | 05/18/2004 - 10/31/2006 | N CHARLESTON, SC | |
B | 09/06/1996 - 10/31/2006 | N CHARLESTON, SC | |
B | 08/26/1994 - 09/09/1996 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.