Donny R. Wells
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.
Donny Randall Wells, who also goes by Randy Wells, was a registered financial professional .
Donny is a previously registered financial professional and started their career in finance in 1983. Donny had worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 1997 - December 31, 2000
LEGACY FINANCIAL SERVICES, INC.
June 7, 1993 - September 29, 1997
WS GRIFFITH SECURITIES, INC.
December 6, 1991 - June 7, 1993
VP DISTRIBUTORS LLC
February 14, 1990 - October 16, 1991
NEW ENGLAND SECURITIES
March 1, 1983 - January 30, 1990
PRUCO SECURITIES, LLC.
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
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
