Unclaimed Profile

Douglas William Finley

FINLEY WEALTH MANAGEMENT, LLC·ESTERO, Florida

Series 7, Series 24, Series 63, Series 66Clean record24 years registeredFINLEY WEALTH MANAGEMENT, LLC

10600 CHEVROLET WAY, ESTERO, FL 33928CRD# 3039094Firm CRD# 142776

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Douglas William Finley · ESTERO, FL

Registration

CRD #3039094 · FINLEY WEALTH MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FINLEY WEALTH MANAGEMENT, LLC

FINLEY WEALTH ADVISORS

May 2007 – Mar 2026

ESTERO, FL

TRIAD ADVISORS, INC.

Feb 2006 – Jun 2007

FT. MYERS, FL

HAISMAN WEALTH MANAGEMENT, INC.

Dec 2003 – Mar 2006

FORT MYERS, FL

LINSCO/PRIVATE LEDGER CORP.

Aug 2002 – Oct 2003

HUNTERSVILLE, NC

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Dec 2001 – Aug 2002

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · December 31, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FINLEY WEALTH MANAGEMENT, LLC

CRD 142776 · SEC 801-131760

AUM

$115M

Regulatory assets under management

Employees

75 client accounts

Services offered by FINLEY WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINLEY WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Douglas William Finley offer?

Douglas William Finley specializes in Financial Planning, Investment Management, Fee-Only Advisory.

What are Douglas William Finley's credentials?

Douglas William Finley is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Douglas William Finley located?

Douglas William Finley is based in ESTERO, Florida, last registered with FINLEY WEALTH MANAGEMENT, LLC.

How does Douglas William Finley charge for services?

Douglas William Finley's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINLEY WEALTH MANAGEMENT, LLC?

FINLEY WEALTH MANAGEMENT, LLC has approximately 4 employees and manages $115M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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