Douglas Ummel (CRD# 3052458) is an Investment Advisor Representative working at Wellington Investment Advisors in Bloomington, IN and has over 25 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.
CRD# 4737760
Edward Jones
CRD# 5480934
J. W. Cole Advisors, Inc.
CRD# 4059124
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Private Client Services LLC | Louisville, KY | Sep 2016 - Current | 7 |
| Wellington Investment Advisors | Bloomington, IN | Aug 2016 - Current | 7 |
| Wells Fargo Advisors Financial Network LLC | Bloomington, IN | Jan 2011 - Sep 2016 | 5 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Dec 1998 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1998 |
- IN
- SC
- TN
-
Total Assets Under Management187MILLIONS
-
Total Number of Accounts905ACCOUNTS
-
Average Account Value$206,612
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AZ, FL, IN, MI, OH, SC, TN, TX
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