John L. Donahue
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.
John Leonard Donahue was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 14 firms and has passed the Series 63, SIE 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
November 17, 2021 - January 13, 2022
SW FINANCIAL
September 14, 2018 - December 3, 2019
COVA CAPITAL PARTNERS LLC
March 18, 2014 - September 19, 2016
WINDSOR STREET CAPITAL, LP
August 29, 2012 - April 17, 2014
MORGAN WILSHIRE SECURITIES, INC.
March 8, 2012 - August 15, 2012
GARDEN STATE SECURITIES, INC.
May 4, 2006 - March 9, 2012
PAULSON INVESTMENT COMPANY LLC
August 29, 2005 - May 15, 2006
NATIONAL SECURITIES CORPORATION
January 27, 2005 - September 2, 2005
SUMMIT BROKERAGE SERVICES, INC.
September 2, 2003 - February 25, 2005
GUNNALLEN FINANCIAL, INC
November 12, 2002 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
November 21, 2000 - July 13, 2001
PRIME CHARTER LTD.
October 7, 1998 - November 22, 2000
BLUESTONE CAPITAL CORP.
April 29, 1994 - October 7, 1998
BARINGTON CAPITAL GROUP, L.P.
July 6, 1993 - February 25, 1994
STRATTON OAKMONT 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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