Donald M. Newell
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 Mark Newell was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 27 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
February 17, 1998 - December 9, 1998
MEMPHIS CAPITAL
May 2, 1986 - February 6, 1996
SIERRA SECURITIES, INC.
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
MEMPHIS CAPITAL
CRD#: 8564 / SEC#: , 8-34927
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANOVER SECURITIES, LLC | OWNER | |
| MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEE | OWNER | |
| GOODWIN, CASEY DOUGLAS | PRESIDENT/CEO | 6808410 |
| HANOVER, JOHN DAVID | GENERAL COUNSEL | 6011724 |
| NAKAE, MARY LOUISE | OWNER/TRUSTEE | 1923430 |
| PARATORE, JACK ANTHONY | CCO | 356248 |
| RODRIGUEZ, AARON NETZAHUALCOYOTL | FINOP & CFO | 5421965 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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