Donald W. Prior
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 Wayne Prior was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1983. Donald had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 28, Series 24, Series 53, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2010 - May 12, 2017
PPS & V ASSET MANAGEMENT CONSULTANTS INC
April 4, 2003 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 24, 1991 - April 30, 2003
PONTELLO PRIOR SCHUT & VLIEK, INC.
March 7, 1988 - October 10, 1991
LEHMAN BROTHERS INC.
August 18, 1986 - February 24, 1988
UBS FINANCIAL SERVICES INC.
March 17, 1986 - July 21, 1986
LASALLE ST SECURITIES, L.L.C.
December 11, 1985 - March 13, 1986
ANSPACHER SECURITIES, INC.
October 3, 1984 - December 23, 1985
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 1983 - August 14, 1984
MOSELEY SECURITIES CORPORATION
July 20, 1983 - November 30, 1983
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
PPS & V ASSET MANAGEMENT CONSULTANTS INC
CRD#: 110491 / SEC#: 801-40057
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 28
Date: 10/30/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 1/4/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PPS & V ASSET MANAGEMENT CONSULTANTS INC
CRD#: 110491 / SEC#: 801-40057
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 567 |
| AUM (Assets Under Management) | $ 228,030,487 |
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.
