Donna R. Herron
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 Renee Herron, who also goes by Donna Renee Herron, Donna Renee Troche, Donna Troche, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1992. Donna had worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2021 - January 6, 2022
LPL FINANCIAL LLC
October 18, 2021 - January 6, 2022
LPL FINANCIAL LLC
October 25, 2018 - March 19, 2021
NFSG CORPORATION
August 6, 2018 - March 19, 2021
NEWBRIDGE SECURITIES CORPORATION
March 22, 2018 - July 13, 2018
CENTER STREET ADVISORS, INC.
November 20, 2017 - July 13, 2018
CENTER STREET SECURITIES, INC.
January 12, 2009 - July 14, 2011
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
May 20, 2008 - July 14, 2011
HERBERT J. SIMS & CO, INC.
October 30, 2006 - May 12, 2008
NFSG CORPORATION
October 24, 2006 - May 12, 2008
NEWBRIDGE SECURITIES CORPORATION
July 12, 2006 - August 18, 2006
A. G. EDWARDS & SONS, INC.
May 23, 2006 - August 18, 2006
A. G. EDWARDS & SONS, INC.
October 11, 2005 - May 4, 2006
RAYMOND JAMES & ASSOCIATES, INC.
February 8, 2005 - October 12, 2005
JANNEY MONTGOMERY SCOTT LLC
August 17, 2004 - February 8, 2005
SUMMIT BROKERAGE SERVICES, INC.
August 10, 2001 - October 9, 2002
MORGAN STANLEY DW INC.
August 3, 2001 - October 9, 2002
MORGAN STANLEY DW INC.
September 18, 2000 - April 10, 2001
CITIGROUP GLOBAL MARKETS INC.
December 9, 1998 - October 11, 1999
CIBC WORLD MARKETS CORP.
September 12, 1995 - November 20, 1998
HERZOG, HEINE, GEDULD, LLC
August 31, 1993 - January 13, 1994
J.P. MORGAN SECURITIES LLC
April 20, 1993 - July 26, 1993
BLUESTONE CAPITAL CORP.
December 9, 1992 - April 8, 1993
COMMONWEALTH ASSOCIATES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
