Donald R. Lipkin
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 Roy Lipkin, CFA was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 5 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 16, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2011 - May 27, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
April 26, 2010 - April 1, 2022
WELLS FARGO SECURITIES, LLC
May 12, 2006 - April 28, 2010
BANC OF AMERICA SECURITIES LLC
October 14, 1991 - May 15, 2006
J.P. MORGAN SECURITIES LLC
October 26, 1984 - October 10, 1991
CREDIT SUISSE SECURITIES (USA) LLC
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
