Donald L. Tarkenton
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 Lee Tarkenton was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1983. Donald had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 27, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 30, 2001 - January 22, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 9, 2001 - April 6, 2001
JOSEPHTHAL & CO., INC.
February 22, 1993 - February 16, 2001
MARION BASS SECURITIES CORPORATION
July 31, 1991 - February 23, 1993
SCOTT & STRINGFELLOW, INC.
July 21, 1983 - March 6, 1990
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 8
Date: 4/28/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
