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DE

Donald W. Epifano

Some features on this profile are disabled
CRD#: 201614
DE

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 William Epifano was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1962. Donald had worked at 12 firms and has passed the Series 000, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 26, 1993 - September 6, 2002

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

November 14, 1986 - January 28, 1993

DWE CAPITAL MARKETS, INC.

BD
CRD#: 17428
Past

August 15, 1986 - July 24, 1987

T.J. SULLIVAN & CO., INC.

BD
CRD#: 10233
Past

June 30, 1986 - August 12, 1986

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

July 5, 1985 - June 30, 1986

S. D. COHN & CO.

BD
CRD#: 735
Past

October 16, 1980 - May 24, 1984

AMIVEST CAPITAL, INC.

BD
CRD#: 8233
Past

October 24, 1979 - May 24, 1984

AMIVEST CORPORATION

BD
CRD#: 3953
Past

December 2, 1976 - March 4, 1981

NEUBERGER SECURITIES CORP.

BD
CRD#: 6079
Past

June 28, 1976 - October 16, 1976

WR LAZARD, LAIDLAW INCORPORATED

BD
CRD#: 6010
Past

March 21, 1975 - April 25, 1976

ULTRAFIN INTERNATIONAL CORPORATION

BD
CRD#: 5134
Past

June 26, 1963 - May 16, 1985

RUSSELL & CO

BD
CRD#: 10264
Past

March 8, 1962 - May 28, 1975

ELKINS & CO.

BD
CRD#: 6789

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

General Industry/Product Exam
RR
Series 000
Date: 6/26/1963
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 3/8/1962
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/1986
General Securities Principal Examination

Current Firm

D&
DONALD & CO. SECURITIES INC.
DONALD & CO. SECURITIES INC.

CRD#: 7776 / SEC#: , 8-20952

BD
Terminated by SEC on 11/09/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 05/19/1976
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THCG INC.PARENT/HOLDING CO.
BLUM, STEPHEN ALLANPRESIDENT/CEO600373
MATTIA, LESLIE ANTHONYCHIEF COMPLIANCE OFFICER1469405
PONTECORVO, ANTHONYSEC/TREAS810358
SCIPIONE, CARL EUGENEC.F.O3000672

Disclosures

Regulatory Event21
Civil Event2
Arbitration12

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.

Company Information

DONALD & CO. SECURITIES INC.

CRD#: 7776

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