William Douglas Dutra

William Douglas Dutra is currently employed as a Broker and/or Investment Adviser at SECURIAN FINANCIAL SERVICES, INC. located at 1615 EDGEWATER DRIVE, SUITE 150, ORLANDO, FL, 32804.

William Douglas Dutra has worked at SECURIAN FINANCIAL SERVICES, INC. since June 26, 2017

Disclosure History

William Douglas Dutra has 3 Disclosure Event(s).

Date: July 14, 2014
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE FEATURES OF A VARIABLE ANNUITY PURCHASED IN MAY 2011. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.

Date: February 21, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 27, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for William Douglas Dutra, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.