Donald R. Blaum
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 Robert Blaum was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 11 firms and has passed the Series 63, Series 7 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 22, 2009 - December 31, 2012
NATIONAL PLANNING CORPORATION
October 31, 2005 - January 26, 2009
OSAIC SERVICES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 9, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 20, 1989 - April 10, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
December 2, 1988 - July 12, 1989
FINANCIAL ARCHITECTS SECURITIES CORPORATION
June 20, 1988 - November 19, 1988
FIRM ONE SECURITIES, INCORPORATED
March 12, 1985 - June 1, 1988
CENPAC SECURITIES CORP.
January 23, 1985 - April 8, 1985
WALL STREET WEST, INC.
April 21, 1983 - February 19, 1985
WEDBUSH SECURITIES INC.
October 20, 1982 - April 8, 1983
CONTINENTAL AMERICAN SECURITIES, INC.
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
