Donna J. Stoll
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 Juanita Stoll, who also goes by Donna Stoll Legere, Donna Legere, Donna J. Stoll, Donna Stoll, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1993. Donna had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2022 - December 14, 2024
CHARLES SCHWAB & CO., INC.
August 30, 2022 - December 14, 2024
CHARLES SCHWAB & CO., INC.
November 22, 2013 - August 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2013 - August 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2009 - February 28, 2012
LPL FINANCIAL LLC
September 8, 2009 - February 28, 2012
LPL FINANCIAL LLC
December 5, 2003 - September 30, 2009
MUTUAL SERVICE CORPORATION
November 17, 2003 - September 8, 2009
MUTUAL SERVICE CORPORATION
March 24, 1999 - December 12, 2003
UBS FINANCIAL SERVICES INC.
March 22, 1999 - December 12, 2003
UBS FINANCIAL SERVICES INC.
February 4, 1999 - February 23, 1999
MORGAN STANLEY DW INC.
December 1, 1997 - March 30, 1998
CITICORP INVESTMENT SERVICES
March 27, 1997 - November 19, 1997
MORGAN STANLEY DW INC.
August 25, 1994 - April 3, 1997
FIRST UNION BROKERAGE SERVICES, INC.
December 8, 1993 - March 1, 1994
GLICKENHAUS & CO.
October 12, 1993 - November 15, 1993
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
