Belvin L. Doane
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.
Belvin Leroy Doane, who also goes by Bud Doane, was a registered financial professional .
Belvin is a previously registered financial professional and started their career in finance in 1986. Belvin had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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
August 9, 2016 - August 9, 2017
NATIONAL PLANNING CORPORATION
July 6, 2016 - August 28, 2017
THE PLANNERS NETWORK, INC.
June 9, 2016 - August 9, 2017
NATIONAL PLANNING CORPORATION
May 8, 2015 - July 12, 2016
ACCLARO WEALTH MANAGEMENT
September 16, 2013 - June 8, 2016
PURSHE KAPLAN STERLING INVESTMENTS
December 7, 2012 - May 12, 2015
ACCLARO WEALTH MANAGEMENT
September 11, 2003 - October 3, 2013
LPL FINANCIAL LLC
September 8, 2003 - October 3, 2013
LPL FINANCIAL LLC
November 1, 1995 - September 12, 2003
OSAIC WEALTH, INC.
June 13, 1991 - February 28, 1996
CETERA WEALTH SERVICES, LLC
January 19, 1990 - June 20, 1991
HERRMANN SECURITIES, INC.
November 17, 1989 - January 17, 1990
CYPRESS CAPITAL CORPORATION
October 29, 1988 - December 2, 1989
SKAIFE & COMPANY
March 19, 1986 - October 25, 1988
CETERA WEALTH 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
Current Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| 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.
