Donald E. Foley
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 Edward Foley was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1991 - December 30, 1994
KANKAKU SECURITIES (AMERICA) INC.
March 27, 1974 - March 8, 1991
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
July 2, 1973 - September 6, 1973
DUPONT WALSTON, INCORPORATED
March 6, 1973 - July 2, 1973
DUPONT GLORE FORGAN INC
December 14, 1972 - February 6, 1973
JEFFERIES LLC
February 24, 1972 - November 25, 1972
F S SMITHERS & CO INC
August 6, 1971 - December 8, 1971
BLACK & COMPANY, INC.
April 2, 1969 - July 14, 1971
STERN, FRANK, MEYER & FOX, INCORPORATED
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
Series 1
Date: 11/25/1968
Registered Representative ExaminationCurrent Firm
KANKAKU SECURITIES (AMERICA) INC.
CRD#: 7384 / SEC#: , 8-21587
Contact information
Documents
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.
