Denise M. Donnelly
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.
Denise Mary Donnelly was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1985. Denise had worked at 4 firms and has passed the Series 63 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
August 5, 1986 - January 13, 1990
FIRST UNION CAPITAL MARKETS CORP.
February 12, 1986 - August 1, 1986
GRUNTAL & CO., L.L.C.
November 26, 1985 - January 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
June 18, 1985 - November 29, 1985
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
FIRST UNION CAPITAL MARKETS CORP.
CRD#: 6124 / SEC#: , 8-12886
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
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.
