Donald S. Han
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 Seung Han, who also goes by Don Han, Donnie Han, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1991. Donald had worked at 6 firms and has passed the Series 63, Series 55, 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
August 13, 2003 - June 24, 2004
BROOKVILLE CAPITAL PARTNERS
May 15, 2001 - March 28, 2002
ACTION II, INC.
May 28, 1999 - August 30, 2001
LOGAN ROCK
May 25, 1994 - March 18, 1997
JOSEPHTHAL & CO., INC.
July 2, 1992 - May 13, 1994
TAMARON INVESTMENTS, INC.
March 28, 1991 - July 8, 1992
J. W. GANT & ASSOCIATES, INC.
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 55
Date: 5/8/2001
Limited Representative-Equity Trader ExamCurrent Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
