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DOUGLAS W BAINES
DOUGLAS BAINES, Douglas William Baines
CRD#: 6177145
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 MINNEAPOLIS, MN
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 ST. PAUL, MN
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2014 - 2021 (6 years)2 FIRMS2023 - Present (1 year)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2014 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2014 - 2014 (<1 year)
License(s)

State Registrations

B
Alabama 4/17/2023

B
Nebraska 4/17/2023

B
Alaska 4/17/2023

B
Nevada 4/17/2023

B
Arizona 4/17/2023

B
New Hampshire 4/17/2023

B
Arkansas 4/17/2023

B
New Jersey 4/17/2023

B
California 4/17/2023

B
New Mexico 4/17/2023

B
Colorado 4/17/2023

B
New York 4/17/2023

B
Connecticut 4/17/2023

B
North Carolina 4/17/2023

B
Delaware 4/17/2023

B
North Dakota 4/17/2023

B
District of Columbia 4/17/2023

B
Ohio 4/18/2023

B
Florida 4/17/2023

B
Oklahoma 4/17/2023

B
Georgia 4/17/2023

B
Oregon 4/17/2023

B
Hawaii 4/17/2023

B
Pennsylvania 4/17/2023

B
Idaho 4/17/2023

B
Puerto Rico 4/17/2023

B
Illinois 4/17/2023

B
Rhode Island 4/17/2023

B
Indiana 4/17/2023

B
South Carolina 4/17/2023

B
Iowa 4/17/2023

B
South Dakota 4/17/2023

B
Kansas 4/17/2023

B
Tennessee 4/17/2023

B
Kentucky 4/17/2023

B
Texas 4/17/2023

B
Louisiana 4/17/2023

IA
Texas 5/15/2023

B
Maine 4/17/2023

B
Utah 4/17/2023

B
Maryland 4/17/2023

B
Vermont 4/17/2023

B
Massachusetts 4/17/2023

B
Virgin Islands 4/17/2023

B
Michigan 4/17/2023

B
Virginia 4/17/2023

B
Minnesota 4/14/2023

B
Washington 4/17/2023

IA
Minnesota 5/11/2023

B
West Virginia 4/17/2023

B
Mississippi 4/17/2023

B
Wisconsin 4/17/2023

B
Missouri 4/17/2023

B
Wyoming 4/17/2023

B
Montana 4/17/2023

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
MINNEAPOLIS, MN
Registered with this firm since 5/11/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
ST. PAUL, MN
Registered with this firm since 4/14/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/31/2014 - 08/17/2021 TRANSAMERICA RETIREMENT ADVISORS, LLC (CRD#:107319) ST. PAUL, MN
B
10/31/2014 - 08/17/2021 TRANSAMERICA INVESTORS SECURITIES CORPORATION (CRD#:32205) ST. PAUL, MN
IA
01/21/2014 - 10/21/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROSEVILLE, MN
B
06/13/2013 - 10/21/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) ROSEVILLE, MN
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B
Broker
IA
Investment Adviser
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.