Donald L. Born
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.
Donald Louis Born was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 9 firms and has passed the Series 63, SIE, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - January 10, 2017
BB&T SECURITIES, LLC
March 1, 2016 - January 10, 2017
BB&T SECURITIES, LLC
September 24, 2013 - March 10, 2016
VALLEY FORGE ASSET MANAGEMENT, LLC
September 24, 2013 - March 10, 2016
VALLEY FORGE ASSET MANAGEMENT, LLC
January 3, 2012 - September 18, 2013
CETERA INVESTMENT SERVICES LLC
January 3, 2012 - September 18, 2013
CETERA INVESTMENT SERVICES LLC
August 1, 2007 - December 20, 2011
VALLEY FORGE ASSET MANAGEMENT, LLC
August 1, 2007 - December 20, 2011
VALLEY FORGE ASSET MANAGEMENT, LLC
February 16, 2005 - June 15, 2007
CETERA ADVISORS LLC
February 16, 2005 - June 15, 2007
CETERA ADVISORS LLC
May 25, 2004 - March 3, 2005
VALLEY FORGE ASSET MANAGEMENT, LLC
September 23, 1980 - March 3, 2005
VALLEY FORGE ASSET MANAGEMENT, LLC
June 17, 1980 - September 29, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1978 - January 29, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
November 17, 1970 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 18, 1970 - March 1, 1972
ROBINSON & CO., 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
Series 1
Date: 10/17/1966
Registered Representative ExaminationSeries 40
Date: 2/2/1970
Registered Principal ExaminationCurrent Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
