Donald C. Monk
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 Clark Monk, who also goes by Donald C Monk, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
July 29, 2011 - December 31, 2015
CROWN CAPITAL SECURITIES, L.P.
July 29, 2011 - December 31, 2015
CROWN CAPITAL SECURITIES, L.P.
January 21, 2011 - August 1, 2011
SIGNATOR FINANCIAL SERVICES, INC.
January 21, 2011 - August 1, 2011
SIGNATOR FINANCIAL SERVICES, INC.
October 1, 2007 - December 31, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
October 1, 2007 - December 31, 2010
PACIFIC WEST SECURITIES, INC.
September 30, 1997 - October 4, 2007
SECURITIES AMERICA ADVISORS, INC.
April 7, 1997 - October 4, 2007
SECURITIES AMERICA, INC.
February 4, 1993 - July 6, 1995
MORGAN STANLEY DW INC.
October 10, 1988 - January 18, 1993
LEHMAN BROTHERS INC.
February 3, 1986 - August 9, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
September 17, 1985 - February 24, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 17, 1985 - February 25, 1986
EQUITABLE ADVISORS, 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
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| 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.
