FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. of WASHINGTON, DC is an SEC-registered investment adviser (CRD 140444). Regulatory assets under management: $1.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Brown T Michael | SENIOR VICE PRESIDENT | Calgary, A0 |
| Richard Steven Foster | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER & TREASURER | — |
| Lee Merritt Folger | DIRECTOR | — |
| Neil Clifford Folger | DIRECTOR, BOARD CHAIR; TRUSTEE | — |
| John Randall Current | SECRETARY, SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
| Christopher Geddy Hill | CHIEF COMPLIANCE OFFICER | — |
| FOLGER LEE MERRITT | CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD, SHAREHOLDER; DIRECTOR (+3 more) | — |
| DOUGLAS WALLACE LESLIE | EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| FOLGER JOHN DULIN | LIMITED PARTNER; SHAREHOLDER; TRUSTEE | — |
| LEAHY ROBERT BEALE | SECRETARY, EXECUTIVE VICE PRESIDENT; SECRETARY, SENIOR EXECUTIVE VICE PRESIDENT; SECRETARY, SENIOR VICE PRESIDENT | — |
| FOSTER RICHARD STEVEN | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER & TREASURER | — |
| OBRIEN RICHARD | EXECUTIVE VICE PRESIDENT; SENIOR EXECUTIVE VICE PRESIDENT; SENIOR VICE PRESIDENT | — |
| URBAN JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| FOLGER NEIL CLIFFORD | DIRECTOR; DIRECTOR, BOARD CHAIR; DIRECTOR, EXECUTIVE VICE PRESIDENT (+3 more) | — |
| CURRENT JOHN RANDALL | SECRETARY, SENIOR EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
| SOLOD SCOTT RICHARD | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-30 | regulatory | ON SEPTEMBER 30, 2019, CMI ELECTED TO PARTICIPATE IN THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE (THE "SCSD INITIATIVE"). THE SCSD INITIATIVE PROVIDED INVESTMENT ADVISERS WITH THE OPPORTUNITY TO VOLUNTARILY SELF-REPORT TO THE SEC'S DIVISION OF ENFORCEMENT POSSIBLE SECURITIES LAW VIOLATIONS… | Final | — |
| 2011-10-02 | regulatory | MSRB RULES G:17 AND G-30(A): FROM OCTOBER 1, 2008, IN SEVEN TRANSACTIONS, FOLGER NOLAN FLEMING DOUGLAS INCORPORATED THE BROKER/DEALER AFFILIATE OF FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM A CUSTOMER AND/OR SOLD MUNICIPAL SECURITIES… | Final | $10K |