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Douglas Lyndon Fuqua

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston , TX

Houston, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-10
  • TX RA
    APPROVED
    Since 2024-07-10

Branch Locations

Houston , TX • United States

800 Capitol St, Houston, TX 77002 • 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
OrganizationCityStateFromTo
Sagepoint Financial, Inc Sugar Land TX 01/2009 09/2023
Osaic Wealth, Inc. Lubbock TX 09/2023 07/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 07/2024 Present
Bank Of America, N.A. Houston TX 07/2024 Present
Previous Registrations
  • 2023-09-01 → 2024-07-15
    Osaic Wealth, Inc.
    Sugar Land, TX
    Lubbock, TX
  • 2008-10-31 → 2023-09-01
    Osaic Services, Inc.
    Sugar Land, TX
    Lubbock, TX
    Sugar Land, TX
  • 2003-03-12 → 2008-10-31
    American General Securities Incorporated
    Sugarland, TX
    Sugar Land, TX
    Sugarland, TX
    Sugarland, TX
    Sugarland, TX
  • 2002-04-22 → 2003-03-19
    Ubs Financial Services Inc.
    Austin, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-19
  • S66 Uniform Combined State Law Examination
    2002-04-19
Other Names
  • Doug Fuqua
  • Douglas Lyndon Fuqua
  • Douglas Lyndon Fuqua

View on SEC IAPD

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