Frederick J. Donahue
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.
Frederick Joseph Donahue, who also goes by Frederick J Donahue Jr, Frederick J Donahue, Frederick Joseph Donahue Jr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1989. Frederick had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2007 - January 27, 2015
CHARLES SCHWAB & CO., INC.
May 2, 2007 - January 27, 2015
CHARLES SCHWAB & CO., INC.
July 10, 2006 - April 4, 2007
LBMZ SECURITIES, INC.
June 16, 2006 - April 4, 2007
ZACKS INVESTMENT MANAGEMENT, INC.
May 25, 2006 - May 31, 2006
MATRIX U.S.A., LLC
June 14, 2001 - January 20, 2005
FISHER INVESTMENTS
October 1, 2000 - August 24, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 4, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
March 22, 1996 - June 27, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 22, 1996 - June 27, 1997
EQUITABLE ADVISORS, LLC
June 16, 1989 - October 10, 1989
LEHMAN GOVERNMENT SECURITIES INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
