Douglas Ummel, financial advisor Bloomington IN
101 score

Douglas Ummel

CRD Number: 3052458
Current Firm: Wells Fargo Advisors Financial Network, LLC

Douglas Ummel (CRD# 3052458) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Bloomington, IN and has over 17 years of experience in the finance industry. Douglas Ummel has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Wells Fargo Advisors Financial Network LLC Bloomington, IN Jan 2011 - Current 5
Raymond James Financial Services Advisors, Inc. Saint Petersburg, FL Jan 2009 - Jan 2011 2
Southwestern Investment Services, Inc. Nashville, TN Jan 2006 - Jan 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1998
S65 NASAA Investment Advisors Law Examination Dec 1998
Contact Info for Douglas A. Ummel
Phone Number: (812) 333-0874
Firm Website: http://www.wachovia.com
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
101
Verified Page
Data verified by both the advisor and the public regulatory data.
Clean Record
This advisor has a clean track record with regulators.

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