Donna J. Cline
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 Jean Cline, who also goes by Donna Jean Collins, Donna Jean Ortega, Donna Jean Pate, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1994. Donna had worked at 9 firms and has passed the Series 65, 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
January 24, 2012 - December 2, 2022
CENTAURUS FINANCIAL, INC.
January 18, 2011 - January 3, 2012
CENTAURUS FINANCIAL, INC.
January 14, 2011 - December 2, 2022
CENTAURUS FINANCIAL, INC.
December 7, 2009 - December 21, 2010
QUESTAR ASSET MANAGEMENT, INC.
December 7, 2009 - December 21, 2010
QUESTAR CAPITAL CORPORATION
May 15, 2008 - October 6, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 15, 2008 - October 6, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 16, 2005 - May 14, 2008
CETERA INVESTMENT SERVICES LLC
August 16, 2005 - May 14, 2008
CETERA INVESTMENT SERVICES LLC
November 16, 2004 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
August 13, 2002 - November 12, 2004
WADDELL & REED
July 30, 2002 - November 12, 2004
WADDELL & REED
February 23, 2000 - November 30, 2001
FROST BROKERAGE SERVICES, INC.
April 29, 1994 - December 1, 1999
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
