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Donna A. Pelletier

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CRD#: 1195276
DP

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.

Donna Ann Pelletier was a registered financial professional .

Donna is a previously registered financial professional and started their career in finance in 1983. Donna had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 2, 2018 - December 19, 2019

KALOS CAPITAL, INC.

BD
CRD#: 44337
Atlanta, GA
Past

April 5, 2012 - February 5, 2018

THE STRATEGIC FINANCIAL ALLIANCE, INC.

BD
CRD#: 126514
ATLANTA, GA
Past

July 27, 2004 - April 5, 2012

SANDERS MORRIS LLC

BD
CRD#: 20580
ATLANTA, GA
Past

January 1, 2004 - August 25, 2004

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

June 11, 2002 - January 1, 2004

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

May 12, 1998 - July 20, 2000

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

July 15, 1997 - April 9, 1998

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN
Past

October 28, 1992 - April 9, 1998

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

July 11, 1985 - October 28, 1992

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

October 19, 1983 - July 26, 1985

FSC SECURITIES CORPORATION

BD
CRD#: 7461

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/1983
General Securities Principal Examination

Current Firm

KC
KALOS CAPITAL, INC.
KALOS CAPITAL, INC.

CRD#: 44337 / SEC#: , 8-50630

BD
Terminated by SEC on 12/03/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 09/26/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KALOS FINANCIAL, INC.OWNER
WILDERMUTH, CAROL JEANCEO, CFO, CCO1555730

Disclosures

Regulatory Event3
Financial1

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.

Company Information

KALOS CAPITAL, INC.

CRD#: 44337

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