Donald F. Fulton
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.
Donald Francis Fulton, who also goes by Don Fulton, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1989. Donald had worked at 7 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
January 2, 2002 - December 31, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 1, 2001 - December 31, 2001
ONEAMERICA SECURITIES, INC.
July 30, 1999 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
November 25, 1998 - July 30, 2001
LONDON PACIFIC SECURITIES, INC.
July 18, 1997 - December 2, 1998
MAIN STREET MANAGEMENT COMPANY
March 14, 1990 - August 20, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
February 22, 1989 - January 2, 1990
EN SOF SECURITIES CORPORATION
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
