Pierre N. Mcdonnaugh
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.
Pierre Nigel Mcdonnaugh, who also goes by Pierre Mcdonnaugh, was a registered financial professional .
Pierre is a previously registered financial professional and started their career in finance in 1989. Pierre had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, 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
May 6, 2011 - August 7, 2017
WELLS FARGO SECURITIES, LLC
March 11, 2010 - April 27, 2011
SG AMERICAS SECURITIES, LLC
December 11, 2006 - February 16, 2010
HSBC SECURITIES (USA) INC.
April 27, 2005 - July 24, 2006
STEBEN & COMPANY, LLC
May 10, 2000 - March 26, 2002
VOYA FINANCIAL PARTNERS, LLC
February 21, 1995 - March 13, 1996
CHEMICAL INVESTMENT SERVICES CORP.
June 27, 1994 - January 15, 1995
PRIME CHARTER LTD.
August 19, 1993 - June 29, 1994
CAPITAL BROKERAGE CORPORATION
July 31, 1993 - September 10, 1993
CITIGROUP GLOBAL MARKETS INC.
July 9, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
April 13, 1989 - July 3, 1990
EQIS SECURITIES, LLC
March 21, 1989 - July 27, 1989
THE STUART-JAMES COMPANY, INCORPORATED
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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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