Donna L. Roach
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 L Roach, who also goes by Donna Jane Lequesne, Donna J.l. Owens, Donna Jane Lequesne Owens, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1987. Donna had worked at 3 firms and has passed the Series 66, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2013 - August 28, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 1, 2013 - August 28, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2009 - February 27, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 30, 2009 - February 27, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 8, 1997 - September 29, 2008
UBS FINANCIAL SERVICES INC.
December 22, 1987 - September 29, 2008
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 8
Date: 5/7/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
