DS
CFA
DS
CFA

Douglas Sandler

32 Years of Experience
Broker

Douglas Sandler is a CFA-designated registered investment advisor, based in Wilmington, NC, with 32 years of industry experience.

Location

Wilmington, NC

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History

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.

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Other Business Activities

Douglas is the Vice Chairman of RiverFront Investment Group, a Registered Representative for ALPS Distributors, and a Board Member for Trolley Ventures Fund. He also works as a ski instructor at Wintergreen Resort and is a member of the Investment Committee for Heart of Steamboat United Methodist Church.

Employment History
Current Registrations
Alps Distributors, INC.
March 2010 - Present · 16 yrs 1 mo
Alps Distributors, INC.Broker
March 2010 - Present · 16 yrs 1 mo
Riverfront Investment Group, LLC
March 2008 - Present · 18 yrs 1 mo
Previous Registrations
Wachovia Securities, LLC
October 1999 - April 2008 · 8 yrs 6 mos
Wachovia Securities, LLCBroker
October 1999 - April 2008 · 8 yrs 6 mos
First Union Capital Markets CORP.Broker
May 1993 - October 1999 · 6 yrs 5 mos
State Registrations2 states
NCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Douglas Sandler - Financial Advisor | TrueAdvisor