Donald J. Freeman
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 Jonathan C Freeman, who also goes by Donald Jonathan Freeman, Donald Jonathan Clark Freeman, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1990. Donald had worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - January 10, 2025
LPL ENTERPRISE, LLC
January 14, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
July 27, 2011 - January 7, 2020
NYLIFE SECURITIES LLC
January 1, 2005 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
August 19, 2003 - January 1, 2005
INTERLINK SECURITIES CORP.
September 27, 2002 - December 9, 2002
TD WEALTH MANAGEMENT SERVICES INC.
November 13, 1998 - October 14, 1999
ESSEX NATIONAL SECURITIES, LLC
November 13, 1998 - December 9, 2002
TD WEALTH MANAGEMENT SERVICES INC.
August 27, 1994 - October 20, 1998
INVEST FINANCIAL CORPORATION
August 3, 1992 - September 2, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 3, 1992 - September 2, 1994
OSAIC FA, INC.
August 16, 1990 - May 13, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 16, 1990 - May 13, 1991
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
