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Detailed Report
JOHN DOUGLAS FAULKNER
DOUG FAULKNER
CRD#: 2956652
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200120022003200420052006200720082009201020112 FIRMS2009 - 2009 (<1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2008 - 2009 (<1 year)IAWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)2005 - 2008 (3 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2005 (4 years)
Disclosure(s)
View By:
2/12/2010
Regulatory
Final
Previous Registration(s)
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 08/18/2009 - 11/25/2009 JESUP & LAMONT SECURITIES CORP. (CRD#:39056) FT. LAUDERDALE, FL
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 02/18/2009 - 09/11/2009 INVESTORS CAPITAL ADVISORY (CRD#:30613) FT LAUDERDALE, FL
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 06/20/2008 - 01/20/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) FT LAUDERDALE, FL
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 05/17/2005 - 06/20/2008 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) FT. LAUDERDALE, FL
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 01/09/2001 - 05/11/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) FT. LAUDERDALE, FL
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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
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.