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Donald C. Panek

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CRD#: 1689877
DP

Professional summary

Donald Charles Panek was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Donald had worked at 3 firms, which includes HEARTLAND INVESTMENT ASSOCIATES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 1993 - July 31, 1997

HEARTLAND INVESTMENT ASSOCIATES, INC.

BD
CRD#: 26974
HIAWATHA, IA
Past

May 16, 1989 - September 20, 1993

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA
Past

July 8, 1987 - May 30, 1989

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/2/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HI
HEARTLAND INVESTMENT ASSOCIATES, INC.
HEARTLAND INVESTMENT ASSOCIATES, INC.

CRD#: 26974 / SEC#: , 8-42777

BD
Terminated by SEC on 07/13/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 05/01/1990
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HEARTLAND FINANCIAL GROUP, INC.HOLDING CORPORATION
LUEBE, EDWARD DUANEEXECUTIVE VICE PRESIDENT/CFO/PRINCIPAL1686926
FELTES, RONALD RAYMONDPRESIDENT/CEO/BOARD CHAIRMAN /CCO1248551
MILLER, JEFFERY ALANVICE PRESIDENT/OPTIONS PRINCIPAL1852684

Disclosures

Regulatory Event2
Arbitration1

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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Company Information

HEARTLAND INVESTMENT ASSOCIATES, INC.

CRD#: 26974

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