Don L. Bach
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.
Don Lester Bach, who also goes by Don Bach, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1982. Don had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2022 - January 31, 2024
VANGUARD MARKETING CORPORATION
May 16, 1990 - February 2, 2001
BANC ONE CAPITAL MARKETS, INC.
November 2, 1988 - January 6, 1990
RODMAN & RENSHAW INC.
August 17, 1988 - October 24, 1988
MARINE MIDLAND CAPITAL MARKETS CORP.
October 23, 1987 - December 3, 1988
HSBC BROKERAGE (USA) INC.
April 23, 1987 - September 23, 1987
J.P. MORGAN SECURITIES INC.
June 22, 1983 - May 16, 1985
SCHRODER & CO. INC.
May 17, 1982 - April 29, 1983
WARBURG PARIBAS BECKER INCORPORATED
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
Series 7TO
Date: 1/5/2022
General Securities Representative ExaminationCurrent Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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