Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DOUG KALLEEN EIDD
DOUG KALLEEN EIDD III, DOUG KALLEEN FIDD, DOUG FIDD
CRD#: 5381946
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Frisco, TX
Registration History
20082010201220142016201820202022202420262 FIRMS2009 - 2014 (4 years)2 FIRMS2016 - Present (9 years)BSCOTTRADE, INC. (CRD# 8206)2014 - 2015 (1 year)BTD AMERITRADE, INC. (CRD# 7870)2007 - 2014 (6 years)
License(s)

State Registrations

B
Arkansas 1/23/2025
B
Missouri 3/7/2024
B
Colorado 4/7/2025
B
Nevada 9/28/2023
B
Delaware 10/21/2020
B
North Carolina 1/17/2023
B
District of Columbia 5/20/2024
B
Oklahoma 1/13/2016
B
Florida 4/3/2024
B
Pennsylvania 2/7/2023
B
Idaho 6/5/2024
B
Tennessee 8/20/2018
B
Illinois 1/4/2019
B
Texas 8/24/2018
B
Indiana 4/3/2024
IA
Texas 9/18/2019
B
Kansas 10/31/2018
B
Virginia 2/15/2019
B
Kentucky 4/12/2023
B
Washington 5/12/2021
B
Louisiana 7/27/2022
B
Wisconsin 1/4/2023
B
Maine 8/5/2022
B
Wyoming 5/18/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Frisco, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 1/15/2016
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Frisco, TX
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034
Registered with this firm since 1/13/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/18/2014 - 12/21/2015 SCOTTRADE, INC. (CRD#:8206) OKLAHOMA CITY, OK
IA
 04/03/2009 - 03/11/2014 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) FORT WORTH, TX
IA
 04/03/2009 - 03/11/2014 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
B
 10/04/2007 - 03/11/2014 TD AMERITRADE, INC. (CRD#:7870) FORT WORTH, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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.