Donald M. Esposito
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.
Donald Michael Esposito, who also goes by Don Esposito, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2013 - November 13, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 18, 2013 - June 21, 2013
PRINCIPAL SECURITIES, INC.
October 4, 2010 - February 8, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 19, 2004 - August 31, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 12, 2003 - November 7, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 28, 2002 - July 23, 2003
ALLSTATE FINANCIAL SERVICES, LLC
August 18, 1995 - May 1, 2002
SECURITIES MANAGEMENT & RESEARCH, INC.
April 8, 1994 - July 20, 1995
MML INVESTORS SERVICES, LLC
January 25, 1989 - June 25, 1991
TOWER SQUARE SECURITIES, INC.
March 13, 1984 - December 31, 1988
EQUITY SERVICES, INC.
August 1, 1983 - May 25, 1984
MML INVESTORS SERVICES, LLC
September 15, 1982 - June 14, 1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 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.
