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DS

Donna M. Silverman

Some features on this profile are disabled
CRD#: 1252024
DS

Professional summary

Donna Marie Silverman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donna is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Donna had worked at 7 firms, which includes INVESTORS ASSOCIATES INC., PAULSON INVESTMENT COMPANY LLC, DUPONT WHITE & STONE INC., NETWORK 1 FINANCIAL SECURITIES INC., EQUITIES INTERNATIONAL SECURITIES INC., TAYLOR LOEB & CO. INC., FIRST BOCA SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna Marie Gallagher | Donna Gallagher Silverman

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

July 22, 1992 - September 25, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

January 23, 1990 - July 6, 1992

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

June 8, 1989 - November 24, 1992

DUPONT, WHITE & STONE, INC.

BD
CRD#: 23826
Past

November 8, 1988 - November 27, 1989

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
RED BANK, NJ
Past

November 25, 1987 - November 28, 1988

EQUITIES INTERNATIONAL SECURITIES, INC.

BD
CRD#: 8663
Past

December 11, 1984 - July 11, 1986

TAYLOR LOEB & CO., INC.

BD
CRD#: 10682
Past

May 22, 1984 - October 3, 1984

FIRST BOCA SECURITIES, INC.

BD
CRD#: 3251

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: 1/11/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/1989
General Securities Principal Examination

Current Firm

IA
INVESTORS ASSOCIATES, INC.
INVESTORS ASSOCIATES, INC.

CRD#: 958 / SEC#: , 8-15007

BD
Cancelled by SEC on 09/22/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 06/16/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

INVESTORS ASSOCIATES, INC.

CRD#: 958

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