Devona A. Read
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.
Devona Annette Read, who also goes by Devona Annette Fumicello, Devona Annette Kline, Devono Annette Read, was a registered financial professional .
Devona is a previously registered financial professional and started their career in finance in 2000. Devona had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2017 - May 14, 2021
CHARLES SCHWAB & CO., INC.
December 8, 2017 - May 14, 2021
CHARLES SCHWAB & CO., INC.
March 18, 2016 - May 12, 2017
LPL FINANCIAL LLC
March 18, 2016 - May 12, 2017
LPL FINANCIAL LLC
November 8, 2011 - April 6, 2016
RBC CAPITAL MARKETS, LLC
November 7, 2011 - April 6, 2016
RBC CAPITAL MARKETS, LLC
January 25, 2011 - November 15, 2011
STRATEGIC ADVISERS LLC
July 7, 2010 - November 14, 2011
FIDELITY BROKERAGE SERVICES LLC
May 9, 2008 - June 3, 2010
RAYMOND JAMES & ASSOCIATES, INC.
January 17, 2008 - May 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2005 - January 3, 2008
CHARLES SCHWAB & CO., INC.
November 21, 2003 - November 28, 2005
SCOTTRADE, INC.
September 1, 2000 - December 4, 2003
CITIGROUP GLOBAL MARKETS INC.
July 19, 2000 - August 25, 2000
A. G. EDWARDS & SONS, 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.
