Douglas Lyndon Fuqua

CRD 4505854 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Doug Fuqua

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Osaic Wealth, Inc.
Lubbock, TX · IA capacity

Sep 1, 2023 → Jul 15, 2024
Osaic Wealth, Inc.
Lubbock, TX · BC capacity

Sep 1, 2023 → Jul 15, 2024
Sagepoint Financial, Inc.
Lubbock, TX · IA capacity

Oct 31, 2008 → Sep 1, 2023
Sagepoint Financial, Inc.
Lubbock, TX · BC capacity

Oct 31, 2008 → Sep 1, 2023
American General Securities Incorporated
Sugarland, TX · IA capacity

Mar 12, 2003 → Oct 31, 2008
American General Securities Incorporated
Sugarland, TX · BC capacity

Mar 12, 2003 → Oct 31, 2008
Ubs Painewebber Inc.
Austin, TX · IA capacity

Apr 22, 2002 → Mar 19, 2003
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Apr 5, 2002 → Mar 19, 2003

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4505854 ↗ FINRA BrokerCheck record for CRD 4505854 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.