Douglas Wayne Stein

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Salina, KS
• 11/2016 → 02/2021
  Wells Fargo Clearing Services, Llc
  Salina, KS
• 02/2021 → Present
  Mid Atlantic Capital Corporation
  Salina, KS
• 02/2021 → Present
  Goss Advisors
  Salina, KS

Previous Registrations

• 2008-01-01 → 2021-03-25
  Wells Fargo Clearing Services, Llc
  Salina, KS
• 1997-12-16 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Salina, KS
  St. Louis, MO
  Salina, KS

Other Businesses

1) POWER OF ATTORNEY FOR BROTHER-IN-LAW; INVESTMENT RELATED; HAYS, KS; START DATE = 12/14/06 2)FAMILY FARM/CUSTOM COMBINING; NOT INVESTMENT RELATED; SALINA, KS; OPERATION IN MY NAME; START DATE = 06/01/90; 40 HOURS DEVOTED ANNUALLY; DURING TRADING HOURS 3)ST. MARY'S ENDOWMENT BOARD; INVESTMENT RELATED; SALINA,KS; ADVISORY BOARD MEMBER; START DATE 01/12/1998; NUMBER OF HOURS PER MONTH .10; NUMBER OF HOURS DURING TRADING .10; REVIEWING THE SCHOOL'S BUDGET, ENROLLMENT, FUNDING, GIFTING, AND GENERAL SUPPORT TO DETERMINE HOW FUNDS FROM THE ENDOWMENT CAN BEST SUPPORT THE EFFORTS OF THE GRADE SCHOOL 4)ROMAN CATHOLIC DIOCESE OF SALINA; INVESTMENT RELATED; SALINA,KS; FINANCE COUNCIL AND INVESTMENT COMMITTEE MEMBER; START DATE 06/01/2017; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; ASSISTING WITH MONEY MANAGER RECOMMENDATIONS AND ASSET ALLOCATION OVERSIGHT, PROVIDING THE GENERAL FINANCIAL REPORTS AS IT MAY RELATED TO INVESTMENT PERFORMANCE AND ASSET ALLOCATION WITHOUT PROVIDING ANY SPECIFIC INVESTMENT ADVICE, AND ASSISTING WITH REVIEWING AND ESTABLISHING THE INVESTMENT AND FINANCIAL STATEMENTS AND POLICIES FOR THE ORGANIZATION 5)FELLOW MAN INTERNATIONAL FOUNDATION~NON INVESTMENT RELATED~151 ASPEN RD SALINA, KS 67401~MISSIONARY MEDICAL SUPPORT FOR HONDURAS~VICE PRESIDENT~JAN 2005~1HR PER MONTH~0HRS PER MONTH DURING MARKET~ORGANIZATIONAL, AND FUNDRAISING FOR OUR MISSION 6)NewEdge Advisors~INVESTMENT RELATED~858 CAMP STREET NEW ORLEANS, LA 70130~RIA, ADVISORY~RIA~2/26/21~170 HrsPER MONTH~135hRS PER MONTH DURING MARKET~INVESTMENT CONSULTING & MANAGEMENT, MULTI-GENERALTIONAL PLANNING 7)FIXED INSURANCE SALES~NON INVESTMENT RELATED~120 N SANTA FE AVE SALINA, KS 67401~FIXED INSURANCE SALES~AGENT~MAR 2021~40HRS PER MONTH~30HRS PER MONTH DURING MARKET~FIXED INSURANCE SALES TO CLIENTS 8)FirstHarvest Wealth Management Group DBA*Yes Invest*120 N Santa Fe Ave*Managing Partner*Wealth Management*2/26/21*170 Hrs per mnth/135 During trade*Investment Advisory and Wealth Management 9)ST. PENDO FIVE, LLC~NON INVESTMENT RELATED~SALINA, KS 67401~RENTAL~MEMBER~DEC 2021~2HRS PER MONTH~0HRS PER MONTH DURING MARKET~LANDLORD 10)RS3 Agri Farm, LLC*No Invest*Salina KS*Managing Member*Operational unit for Partnership*12/31/21*15 Per mnth/7 trade*Operations of Family Farm partnership 11)Mordecai Stone, LLC*No Invest*Salina, KS*Managing Member*Operational unit of Family Farm*12/31/17*7 Hrs per mnth*Operation of Family Farm

Exams

• S63 Uniform Securities Agent State Law Examination
  1988-04-29

Designations

Other Names

• Doug Stein