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DF

Donna J. Flemming

Some features on this profile are disabled
CRD#: 1791388
DF

Professional summary

Donna Jean Flemming was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donna is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Donna had worked at 9 firms, which includes SPENCER EDWARDS INC., VARIABLE ASSET MANAGEMENT INC., VARIABLE ASSET STRATEGIES INC., PORTFOLIO BROKERAGE SERVICES INC., ROCKY MOUNTAIN SECURITIES & INVESTMENTS INC., FAIRCHILD FINANCIAL GROUP INC., B C FINANCIAL CORPORATION, FINNET SECURITIES INC., BLINDER ROBINSON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna Smith | Donna Jean White

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

January 15, 2003 - February 1, 2019

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

August 21, 2002 - October 17, 2005

VARIABLE ASSET MANAGEMENT, INC.

RIA
CRD#: 119055
ENGLEWOOD, CO
Past

January 8, 2002 - September 29, 2006

VARIABLE ASSET STRATEGIES, INC.

BD
CRD#: 37027
GREENWOOD VILLAGE, CO
Past

July 25, 1997 - January 2, 2002

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

July 17, 1991 - December 3, 1996

ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.

BD
CRD#: 8350
DENVER, CO
Past

May 22, 1989 - June 27, 1991

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

May 10, 1989 - May 23, 1989

B C FINANCIAL CORPORATION

BD
CRD#: 13460
Past

November 1, 1988 - May 11, 1989

FINNET SECURITIES, INC.

BD
CRD#: 17960
Past

January 26, 1988 - October 31, 1988

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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
IAR
Series 66
Date: 2/26/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/30/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/7/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/21/2003
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/23/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/4/2000
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/1997
General Securities Principal Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

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

SPENCER EDWARDS, INC.

CRD#: 22067

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