Douglas Sockman has been Principal/Chief Compliance Officer of Cleveland Wealth since October 2015, is a control person of the firm and directly owns between 50% and 75% of it. Douglas Sockman holds a Bachelor's degree from Ohio University.
Cleveland Wealth, LLC is a Cleveland, OH firm with $507M under management, 396 clients and 3 advisers in one office, as of its July 2026 filing.
Doug Sockman is Principal at Cleveland Wealth, LLC, based in Cleveland, OH. For over two decades his practice has offered individuals and families financial planning services with an emphasis on wealth management, retirement planning and tax reduction strategies. He has presented retirement planning seminars to various groups and organizations, and continuing education workshops for Certified Public Accountants.
Douglas Sockman’s longest registration was 13 years at MML Investors Services, LLC (2003–2016). Before joining Cleveland Wealth in 2016, Douglas Sockman was registered through Skylight Financial Services LLC and MML Investors Services, LLC.
- Cleveland Wealth, LLCCurrent– present · 10 yearsCleveland, OH · Adviser representative · Firm CRD 282196
- Skylight Financial Services LLC– · under a yearCleveland, OH · Adviser representative · Firm CRD 121037
- MML Investors Services, LLC– · 13 yearsCleveland, OH · Adviser representative · Firm CRD 10409
Professional designations
Listed by Cleveland Wealth
- CERTIFIED FINANCIAL PLANNER® (CFP®)
- Chartered Financial Consultant (ChFC)
- Chartered Life Underwriter (CLU)
Investment adviser representative registrations
Douglas Sockman is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from April 2016; the most recent is Texas, in May 2016.
- OhioSince 26 April 2016
- TexasResidentSince 7 May 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 18 August 2003 |
| Series 7 | General Securities Representative Examination | 24 June 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Douglas William Sockman
- CRD
- 2884058
- Firm
- Cleveland Wealth · CRD 282196
- Role
- Principal/Chief Compliance Officer
- Office
- 600 SUPERIOR AVENUE EAST, SUITE 2550, Cleveland, OH 44114
- Registration
- Investment adviser registration
- In the industry since
- February 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- clevelandwealth.com
Where does Douglas Sockman work?
Douglas Sockman has been Principal/Chief Compliance Officer of Cleveland Wealth, LLC since October 2015, and is a control person of the firm.
Is Douglas Sockman a financial advisor?
Yes. Douglas Sockman has a current investment-adviser registration in Ohio and Texas, through Cleveland Wealth since April 2016.
How many years of experience does Douglas Sockman have?
Douglas Sockman has 23 years in the financial industry, since February 2003, across 3 adviser firms.
What exams has Douglas Sockman passed?
Douglas Sockman has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in June 1997. FINRA credited Douglas Sockman with the SIE, which began in October 2018.
Where did Douglas Sockman work before Cleveland Wealth?
Before Cleveland Wealth, Douglas Sockman was registered through Skylight Financial Services LLC, April 2003 to June 2003; MML Investors Services, LLC, February 2003 to April 2016.
Where is Douglas Sockman based?
Douglas Sockman’s registered office is in Cleveland, OH.
Is Douglas Sockman registered with FINRA?
No. Douglas Sockman has no current broker registration.
Is Douglas Sockman a CFP?
Cleveland Wealth lists Douglas Sockman with the CFP credential (“CERTIFIED FINANCIAL PLANNER® (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Douglas Sockman’s record?
Search CRD 2884058 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Douglas Sockman’s full registration record.