Douglas Ogden Elliott

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-09-19

TX RA
APPROVED

Since 2024-09-19

Branch Locations

Houston, TX • 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
Stifel Nicolaus & Co Inc	Houston	TX	01/2011	09/2024
Lpl Financial Llc	Houston	TX	09/2024	Present

01/2011 → 09/2024

Stifel Nicolaus & Co Inc

Houston, TX
09/2024 → Present

Lpl Financial Llc

Houston, TX

Previous Registrations

2011-01-28 → 2024-09-26

Stifel, Nicolaus & Company, Incorporated

Houston, TX
2009-10-05 → 2011-02-01

Ameriprise Financial Services, Llc

Houston, TX
2009-07-16 → 2009-10-05

Ameriprise Advisor Services, Inc.

Sugar Land, TX
2008-01-01 → 2009-04-20

Wells Fargo Clearing Services, Llc

Sugar Land, TX
2002-11-15 → 2008-01-01

A. G. Edwards & Sons, Inc.

Sugar Land, TX

St. Louis, MO

Other Businesses

1 - 07/23/2024 - Wallstreet Texas - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 8 Hours During Trading - At reported business location(s).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-01-27
S63	Uniform Securities Agent State Law Examination	1985-03-25

S65 Uniform Investment Adviser Law Examination

2010-01-27
S63 Uniform Securities Agent State Law Examination

1985-03-25

View on SEC IAPD