Donald J. Plowman
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 Joseph Plowman was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2008 - August 6, 2013
LIBERTY ASSET MANAGEMENT
December 20, 2001 - August 4, 2004
APW CAPITAL, INC.
December 20, 2001 - March 30, 2012
APW CAPITAL, INC.
January 2, 2001 - December 31, 2008
GM FINANCIAL GROUP
January 1, 1999 - December 21, 2001
OSAIC FS, INC.
March 26, 1985 - October 14, 1985
OSAIC FS, INC.
Primary Firm SEC Registration
LIBERTY ASSET MANAGEMENT
CRD#: 142094 / SEC#: 801-132496
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
LIBERTY ASSET MANAGEMENT
CRD#: 142094 / SEC#: 801-132496
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 106,177,228 |
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.
