Donna K. Abbott
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 K Abbott, who also goes by Donna Gay Keller, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1994. Donna had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2011 - August 1, 2012
CAPE INVESTMENT ADVISORY, INC.
September 13, 2011 - August 1, 2012
CAPE SECURITIES INC.
June 24, 2009 - September 30, 2009
TRUIST INVESTMENT SERVICES, INC.
July 26, 2006 - September 30, 2009
TRUIST INVESTMENT SERVICES, INC.
January 14, 1994 - December 10, 1998
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
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.
