Don S. Spivey
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.
Don Scott Spivey, who also goes by Don Spivey, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1983. Don had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1999 - December 1, 1999
LIGHTSPEED PROFESSIONAL TRADING LLC
July 13, 1995 - June 3, 1997
A. G. EDWARDS & SONS, INC.
December 4, 1993 - July 24, 1995
UBS FINANCIAL SERVICES INC.
October 1, 1991 - November 11, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 30, 1983 - October 8, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 10/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
LIGHTSPEED PROFESSIONAL TRADING LLC
CRD#: 39293 / SEC#: , 8-48713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIGHTSPEED FINANCIAL, LLC | OWNER | |
| ACTMAN, ANDREW HOWARD | CHIEF STRATEGY OFFICER | 2869087 |
| BARRILLEAUX, JANICE JONES | CHIEF OPERATIONS OFFICER | 2339063 |
| EHRLICH, STEPHEN JAY | CHIEF EXECUTIVE OFFICER | 2454375 |
| EHRLICH, STEPHEN JAY | CHIEF COMPLIANCE OFFICER | 2454375 |
| IGNALL, SCOTT STEVEN | CHIEF TECHNOLOGY OFFICER | 2783532 |
| LYONS, JASON ROBERT | CHIEF FINANCIAL OFFICER | 2921790 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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