Thomas Douglass has been Managing Member / CCO of Douglass Investment Group since June 2024, is a control person of the firm and directly owns 75% or more of it.
Douglass Investment Group LLC is a Wichita, KS firm with $174M under management, 142 clients and 2 advisers in one office, as of its March 2026 filing.
Mark Douglass is Managing Partner of Douglass Investment Group. He has over 40 years of experience in the financial services industry, including strategic planning for banks and more than three decades in wealth management. Douglass has mentored the next generation of wealth managers, including his son, Jason Douglass.
Thomas Douglass’ longest registration was 11 years at Wells Fargo Advisors, LLC (2003–2015). Before joining Douglass Investment Group in 2024, Thomas Douglass was registered through Raymond James Financial Services Advisors, Inc and Wells Fargo Advisors Financial Network, LLC.
- Douglass Investment GroupCurrent– present · 2 yearsWichita, KS · Adviser representative · Firm CRD 331223
- Raymond James Financial Services Advisors, Inc– · 7 yearsWichita, KS · Adviser representative · Firm CRD 149018
- Wells Fargo Advisors Financial Network, LLC– · 2 yearsWichita, KS · Adviser representative · Firm CRD 11025
- Wells Fargo Advisors, LLC– · 11 yearsWichita, KS · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · under a yearWichita, KS · Adviser representative · Firm CRD 7471
- Merrill Lynch Pierce Fenner & Smith Inc.– · 4 yearsWichita, KS · Adviser representative · Firm CRD 7691
Professional designations
Listed by Douglass Investment Group
- Certified Financial Planner™ (CFP®)
Investment adviser representative registrations
Thomas Douglass is registered as an investment adviser representative in 2 states. Each was approved in July 2024.
- KansasSince 1 July 2024
- TexasSince 9 July 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 14 September 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 13 September 2004 |
| Series 66 | Uniform Combined State Law Examination | 23 July 1998 |
| Series 7 | General Securities Representative Examination | 8 July 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Mark Douglass
- CRD
- 3084341
- Firm
- Douglass Investment Group · CRD 331223
- Role
- Managing Member / CCO
- Office
- 9412 EAST CENTRAL AVENUE, Wichita, KS 67206
- Registration
- Investment adviser registration
- In the industry since
- July 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- douglassgroup.net
Where does Thomas Douglass work?
Thomas Douglass has been Managing Member / CCO of Douglass Investment Group LLC since June 2024, and is a control person of the firm.
Is Thomas Douglass a financial advisor?
Yes. Thomas Douglass has a current investment-adviser registration in Kansas and Texas, through Douglass Investment Group since July 2024.
How many years of experience does Thomas Douglass have?
Thomas Douglass has 28 years in the financial industry, since July 1998, across 6 adviser firms.
What exams has Thomas Douglass passed?
Thomas Douglass has passed 4 licensing exams: the Series 7, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in July 1998. FINRA credited Thomas Douglass with the SIE, which began in October 2018.
Where did Thomas Douglass work before Douglass Investment Group?
Before Douglass Investment Group, Thomas Douglass was registered through Wells Fargo Advisors Financial Network, LLC, March 2015 to April 2017; Wells Fargo Advisors, LLC, July 2003 to March 2015; Prudential Securities Incorporated, January 2003 to July 2003; Merrill Lynch Pierce Fenner & Smith Inc., September 1998 to January 2003.
Where is Thomas Douglass based?
Thomas Douglass’ registered office is in Wichita, KS.
Is Thomas Douglass registered with FINRA?
No. Thomas Douglass has no current broker registration.
Is Thomas Douglass a CFP?
Douglass Investment Group lists Thomas Douglass with the CFP credential (“Certified Financial Planner™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Thomas Douglass’ record?
Search CRD 3084341 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Douglass’ full registration record.
