Donna J. Lemery
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.
Donna Jean Lemery, who also goes by Donna Paulionis, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1992. Donna had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2017 - January 31, 2022
BARCLAYS CAPITAL INC.
January 8, 2013 - August 19, 2016
E*TRADE SECURITIES LLC
February 5, 2007 - January 11, 2013
TD AMERITRADE, INC.
August 9, 2005 - December 20, 2006
TOWER SQUARE SECURITIES, INC.
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
August 10, 2004 - December 20, 2006
METROPOLITAN LIFE INSURANCE COMPANY
September 27, 2002 - December 20, 2006
NEW ENGLAND SECURITIES
September 27, 2002 - December 20, 2006
MSI FINANCIAL SERVICES, INC.
September 23, 2002 - December 20, 2006
WALNUT STREET SECURITIES, INC.
May 30, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
June 5, 2000 - November 15, 2001
TUCKER ANTHONY INCORPORATED
October 1, 1999 - July 27, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 30, 1992 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
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.
