Bonnie D. Donnelly
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.
Bonnie Darlene Donnelly, who also goes by Bonnie Berstein, Bonnie Donnelly, Bonnie D Donnelly-ward, Bonnie Darlene Donnelly-ward, Bonnie Darlene Ward, was a registered financial professional .
Bonnie is a previously registered financial professional and started their career in finance in 1986. Bonnie had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2005 - October 4, 2013
CETERA INVESTMENT SERVICES LLC
September 30, 2005 - October 4, 2013
CETERA INVESTMENT SERVICES LLC
February 27, 2001 - September 30, 2004
NATIONAL PLANNING CORPORATION
August 14, 2000 - December 11, 2000
CITICORP INVESTMENT SERVICES
February 1, 1999 - August 11, 2000
BANC ONE SECURITIES CORPORATION
February 6, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
March 15, 1996 - January 6, 1997
SANCTUARY SECURITIES, INC.
October 29, 1993 - March 26, 1996
ALLSTATE FINANCIAL SERVICES, LLC
March 18, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
March 5, 1991 - January 26, 1993
CAPITAL BROKERAGE CORPORATION
February 27, 1991 - March 11, 1991
HAMILTON INVESTMENTS, INC.
November 23, 1988 - May 3, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
February 9, 1988 - July 26, 1988
FIRSTAR INVESTMENT SERVICES,INC.
December 26, 1986 - November 6, 1987
AMERIPRISE FINANCIAL 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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
