Donald Felty

DONALD FELTY

Fairfield Township, OH

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CRD#: 1484405

Professional summary

Donald Felty SR, who also goes by Don Felty, is a registered financial advisor currently at DONALD FELTY, LLC located in Fairfield Township, Ohio.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Donald has worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Don Felty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Felty SR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 10, 1999 - Present

DONALD FELTY, LLC

RIA

CRD#: 119623

Fairfield Township, OH

Past

September 5, 1997 - April 21, 1998

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

August 29, 1995 - August 12, 1997

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 26, 1993 - August 25, 1995

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

June 29, 1992 - February 10, 1993

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

December 18, 1991 - August 5, 1992

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

CRD#: 24220

GREENWOOD VILLAGE, CO

Past

November 24, 1987 - September 3, 1991

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

FOUNTAIN HILLS, AZ

Past

January 9, 1987 - December 8, 1987

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

Past

September 15, 1986 - January 8, 1987

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

Past

July 21, 1986 - September 22, 1986

NORTH AMERICAN MANAGEMENT, INC.

CRD#: 624

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(3/6/2001)

IAR

Ohio
(11/10/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/26/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/18/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DONALD FELTY, LLC

CRD#: 119623 / SEC#:

Kentucky

Registered Investment Advisory firm - (2/28/2001 Approved)

Ohio

Registered Investment Advisory firm - (11/4/1999 Approved)

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Contact information

Main Address

Fairfield Township, OH

Mailing Address

Phone number

(513) 284-1959

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 10,452,625

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.

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Advisor Monitoring

Firm Stability Insights

Donald Felty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Felty SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN GENERAL SECURITIES INCORPORATED

COMMONWEALTH FINANCIAL NETWORK

TRANSAMERICA FINANCIAL ADVISORS, INC.

MARINER FINANCIAL SERVICES, INC.

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

BROOKLIGHT PLACE SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

RELIASTAR FINANCIAL MARKETING CORP.

NORTH AMERICAN MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1986

Series 7

Date: 10/26/1993

Series 6

Date: 7/18/1986

Current Firm

DONALD FELTY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DONALD FELTY, LLC

TRUST BUT VERIFY

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