Jeri J. Guthman-donahue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeri J Guthman-donahue, who also goes by Jeri Jean Donahue, Jeri Jean Guthman, Jerri Jean Guthman, Jeri Jean Guthman-donahue, Jeri Jean Guthmandonahue, was a registered financial professional .
Jeri is a previously registered financial professional and started their career in finance in 1982. Jeri had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2020 - September 17, 2021
OSAIC INSTITUTIONS, INC.
October 16, 2018 - August 6, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2014 - October 17, 2018
OSAIC INSTITUTIONS, INC.
January 30, 2008 - March 12, 2014
LPL FINANCIAL LLC
June 14, 2006 - January 23, 2008
OSAIC INSTITUTIONS, INC.
December 5, 2002 - May 22, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 7, 1997 - December 22, 2000
A. G. EDWARDS & SONS, INC.
October 29, 1986 - July 31, 1995
CROWN FINANCIAL GROUP, INC.
February 13, 1984 - October 30, 1986
F.D. ROBERTS SECURITIES, INC.
March 30, 1982 - January 31, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
