Douglas Miller Groome

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-11-02

NC RA
APPROVED

Since 2018-11-02

Branch Locations

Charlotte, NC • United States

310 Arlington Ave Unit 308, Charlotte, NC 28203 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Signator Investors, Inc.	Charlotte	NC	05/2016	11/2018
Osaic Wealth, Inc.	Charlotte	NC	11/2018	Present

05/2016 → 11/2018

Signator Investors, Inc.

Charlotte, NC
11/2018 → Present

Osaic Wealth, Inc.

Charlotte, NC

Previous Registrations

2016-05-13 → 2018-11-02

Signator Investors, Inc.

Charlotte, NC
2009-09-04 → 2016-05-13

Transamerica Financial Advisors, Llc

Charlotte, NC
2002-04-08 → 2009-09-04

Transamerica Financial Advisors, Inc.

Charlotte, NC

Charlotte, NC

Other Businesses

1) SOLE PROPRIETOR SELLING FIXED INSURANCE. INVESTMENT RELATED. 2 HRS/MO 2 ) DOUGLAS M GROOME FIXED INSURANCE POSITION: Owner NATURE: Life, Disability, Long Term Care INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/02/2023 ADDRESS: 310 Arlington Ave Ste 308 Charlotte NC 28203 DESCRIPTION: selling Fixed Insurance

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-06
S63	Uniform Securities Agent State Law Examination	1988-03-31

S65 Uniform Investment Adviser Law Examination

1999-12-06
S63 Uniform Securities Agent State Law Examination

1988-03-31

Designations

Other Names

Doug Groome

View on SEC IAPD