Donna L. Pierce
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 Lynn Pierce, who also goes by Donna Lynn Howell, Donna Lynn Martinez, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1992. Donna had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 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
July 18, 2018 - December 11, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 23, 2013 - August 11, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 30, 2013 - August 11, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 2013 - April 17, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 14, 2000 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
January 15, 1999 - February 14, 2000
INVEST FINANCIAL CORPORATION
August 12, 1998 - January 25, 1999
CONSECO SECURITIES, INC.
March 11, 1998 - November 9, 1998
TRANS FINANCIAL INVESTMENT SERVICES, INC.
February 6, 1997 - March 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1996 - December 9, 1996
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 5, 1994 - July 19, 1996
J.C. BRADFORD & CO.
June 19, 1992 - August 12, 1994
INVEST FINANCIAL CORPORATION
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
