David C. Donaldson
Professional summary
David Cummings Donaldson JR, who also goes by David Cummings Donaldson, is a registered financial advisor currently at ESSEX FINANCIAL SERVICES, INC. located in Farmington, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Cummings Donaldson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 2, 2010 - Present
ESSEX FINANCIAL SERVICES, INC.
Office #1: 10 Waterside Dr, Suite 100, Farmington, CT 06032March 4, 2010 - July 29, 2021
ESSEX FINANCIAL SERVICES, INC.
November 17, 2009 - February 19, 2010
TD WEALTH MANAGEMENT SERVICES INC.
November 17, 2009 - February 19, 2010
TD WEALTH MANAGEMENT SERVICES INC.
January 1, 2005 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
March 4, 2003 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
March 4, 2003 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
May 30, 2001 - March 6, 2003
NATIONAL PLANNING CORPORATION
May 30, 2001 - March 6, 2003
NATIONAL PLANNING CORPORATION
June 26, 2000 - May 29, 2001
WEBSTER INVESTMENT SERVICES, INC.
July 28, 1997 - June 23, 2000
MECHANICS INVESTMENT SERVICES, INC.
December 14, 1994 - July 17, 1997
APEX CLEARING CORPORATION
April 30, 1991 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
January 17, 1991 - April 30, 1991
MABON, NUGENT & CO.
December 27, 1985 - February 4, 1991
LEHMAN BROTHERS INC.
July 21, 1983 - January 6, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
ESSEX FINANCIAL SERVICES, INC.
CRD#: 127549 / SEC#: 801-62242, 8-66015
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/2/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ESSEX FINANCIAL SERVICES, INC.
CRD#: 127549 / SEC#: 801-62242, 8-66015
Contact information
SEC notice filing (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ESSEX SAVINGS BANK | SHAREHOLDER | |
| BAUER, JOHN | DIRECTOR | 7031583 |
| BOONE, MARY EMELIA | DIRECTOR | 6281326 |
| CUMELLO, CHARLES ROBERT JR | PRESIDENT & CEO, DIRECTOR | 2120572 |
| GLOWAC, BRUCE MICHAEL | DIRECTOR | |
| GRESHAM, STEPHEN DEANE | DIRECTOR | 1126592 |
| JACOBSON, GEOFFREY LEE | DIRECTOR | |
| NELSON, RONALD CLARK | CHIEF OPERATING OFFICER, TREASURER, SECRETARY | 1137618 |
| OROURKE, MICHAEL DENNIS | CHIEF COMPLIANCE OFFICER | 1551838 |
| PAUL, DOUGLAS WILLIAMS | CHAIRMAN | |
| SHOOK, GREGORY RALPH | DIRECTOR | |
| TERRIBILE, WILLIAM JOHN JR | FINANCIAL AND OPERATIONS PRINCIPAL, ROSFP | 1132498 |
Regulatory assets under management
| Total Number of Accounts | 7,143 |
| AUM (Assets Under Management) | $ 4,169,984,114 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2025 | ||
| 11/07/2024 | ||
| 10/12/2023 | ||
| 11/21/2022 |
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.
