Timothy J. Donegan
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.
Timothy John Donegan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 14 firms and has passed the Series 66, Series 63, SIE, 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
May 31, 2017 - December 20, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 15, 2014 - June 10, 2015
RESOURCE SECURITIES LLC
May 20, 2013 - April 3, 2014
CABOT LODGE SECURITIES LLC
June 11, 2009 - April 9, 2013
ATEL SECURITIES CORPORATION
October 31, 2007 - December 2, 2008
JOHN HANCOCK DISTRIBUTORS LLC
February 13, 2007 - October 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 2007 - October 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2006 - May 24, 2006
VSR FINANCIAL SERVICES, INC.
June 5, 2003 - October 20, 2005
CNL SECURITIES CORP.
January 29, 1996 - January 16, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 9, 1995 - November 21, 1995
ARGENT SECURITIES, INC.
June 21, 1995 - September 28, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
June 10, 1994 - June 22, 1995
DONALD & CO. SECURITIES INC.
May 8, 1992 - June 15, 1994
L.C. WEGARD & CO., INC.
July 15, 1991 - May 8, 1992
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
