Donna K. Lillard
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.
Donna Kaye Lillard was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1986. Donna had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 53, Series 10, Series 9 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
June 26, 2017 - August 9, 2017
B. RILEY WEALTH MANAGEMENT
March 18, 2009 - February 12, 2016
VINING-SPARKS IBG, LLC
March 18, 2009 - February 12, 2016
ICBA SECURITIES
March 23, 2006 - October 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2006 - October 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2005 - February 22, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2004 - May 31, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2002 - May 4, 2004
VINING-SPARKS IBG, LLC
March 20, 2002 - May 4, 2004
ICBA SECURITIES
March 16, 2001 - February 1, 2002
ICBA FINANCIAL SERVICES CORPORATION
June 8, 2000 - October 20, 2000
B. RILEY WEALTH MANAGEMENT
March 14, 1991 - March 4, 1997
ICBA SECURITIES
January 1, 1991 - March 4, 1997
VINING-SPARKS IBG, LLC
June 5, 1986 - January 1, 1991
UNION PLANTERS INVESTMENT BANKERS GROUP, 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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
