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Harumi A. Donoyan

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CRD#: 2103462
HD

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.

Harumi Aoto Donoyan, who also goes by Harumi Aoto, was a registered financial professional .

Harumi is a previously registered financial professional and started their career in finance in 1990. Harumi had worked at 5 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harumi Aoto

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

May 9, 2011 - November 28, 2012

RISEVEST FINANCIAL SECURITIES LIMITED

BD
CRD#: 151120
STAMFORD, CT
Past

June 6, 2000 - March 7, 2011

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

April 21, 1998 - March 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 13, 1994 - April 17, 1998

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

November 30, 1990 - September 26, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 1/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/7/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/1990
General Securities Representative Examination

Current Firm

RF
RISEVEST FINANCIAL SECURITIES LIMITED
FBV CAPITAL ADVISORS, INC. | VALCOUR SECURITIES LLC | RISEVEST FINANCIAL SECURITIES LIMITED | MARINUS SECURITIES, LLC | HI2 SECURITIES, INC. | HAITOU SECURITIES, INC.

CRD#: 151120 / SEC#: , 8-68336

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Church Street 8th Floor Suite 804, New York, NY, 10007
Mailing Address
100 Church Street 8th Floor Suite 804, New York, NY, 10007
Phone number
(202) 413-1308
Established
Virginia since 04/16/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RISE VEST TECHNOLOGIES LIMITEDOWNER
BAEZ-ESCOBAR, CHRISTIANPRESIDENT & CHIEF COMPLIANCE OFFICER5505290
CREIGHTON, JOHN MATTHEWFINANCIAL AND OPERATIONS PRINCIPAL1909492
DAYE, WILFRED ZHONGKEIPRINCIPAL4320077

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

RISEVEST FINANCIAL SECURITIES LIMITED

CRD#: 151120

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