Donna D. Mcconnell

HEADINVEST

Portland, ME 04101-4194

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CRD#: 2337529

Professional summary

Donna Dubois Mcconnell, who also goes by Donna Dubois, Donna D Mcconnell, is a registered financial advisor currently at HEADINVEST located in Portland, Maine.

Donna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Donna has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Donna Dubois | Donna D Mcconnell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donna Dubois Mcconnell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 8, 2006 - Present

HEADINVEST

Office #1: 7 Custom House St 4th Floor, Portland, ME 04101-4194

RIA

CRD#: 140518

Portland, ME

Past

January 28, 2003 - June 19, 2006

HEAD AND ASSOCIATES, INC

RIA

CRD#: 106359

PORTLAND, ME

Past

April 19, 1993 - September 10, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEADINVEST

ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA

Registered Investment Advisory firm - (6/8/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(6/8/2006)

IAR

Texas
(6/8/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/3/1993

General Securities Representative Examination

Current Firm

HEADINVEST

ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA

Registered Investment Advisory firm - (6/8/2006 Approved)

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Contact information

Main Address

7 Custom House St 4th Floor, Portland, ME 04101-4194

Mailing Address

Phone number

(207) 773-5333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEADINVEST LLC BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,232
AUM (Assets Under Management)	$ 969,679,151

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.

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Donna D. Mcconnell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donna Dubois Mcconnell's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEADINVEST

HEAD AND ASSOCIATES, INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HEADINVEST

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2003

Series 63

Date: 7/27/1994

Series 7

Date: 4/3/1993

Current Firm

HEADINVEST

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEADINVEST

TRUST BUT VERIFY

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