Joseph M. Donovan
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.
Joseph Michael Donovan was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 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
February 6, 2018 - June 9, 2021
M&T SECURITIES, INC.
December 21, 2007 - July 22, 2016
VICTORY CAPITAL SERVICES, INC.
March 1, 2006 - July 26, 2007
FUNDS DISTRIBUTOR, LLC
February 3, 2006 - December 18, 2007
VICTORY CAPITAL SERVICES, INC.
May 10, 2004 - October 12, 2005
PGIM INVESTMENTS LLC
January 26, 2004 - October 12, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 28, 2002 - February 18, 2003
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
November 29, 2000 - March 1, 2002
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
May 11, 1999 - November 17, 2000
FUNDS DISTRIBUTOR, LLC
February 3, 1999 - May 7, 1999
AMUNDI DISTRIBUTOR US, INC.
October 2, 1989 - May 15, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
November 19, 1987 - March 11, 1988
FIDELITY BROKERAGE SERVICES 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 7TO
Date: 2/3/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/3/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
