Donald C. Burgio
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 Charles Burgio, who also goes by Donald Charles Burglo, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2011 - September 8, 2016
INVEST FINANCIAL CORPORATION
November 2, 2011 - September 8, 2016
INVEST FINANCIAL CORPORATION
November 16, 2004 - December 31, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
November 12, 2004 - November 4, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 7, 2000 - November 23, 2004
LPL FINANCIAL LLC
November 6, 2000 - November 23, 2004
LPL FINANCIAL LLC
July 13, 2000 - September 5, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
January 18, 2000 - April 20, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
January 18, 2000 - April 20, 2000
VALIC FINANCIAL ADVISORS, INC.
May 20, 1999 - January 21, 2000
PARK AVENUE SECURITIES LLC
February 19, 1988 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 19, 1988 - June 1, 1999
SIGNATOR INVESTORS, INC.
October 8, 1985 - December 1, 1987
PRUCO SECURITIES, 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
