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DS

Donna Semenza

HEROLD & LANTERN INVESTMENTS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 264457
DS

Professional summary

Donna Semenza, who also goes by Donna K. Semenza, Donna Karn Semenza, Donna S. Semenza, Donna Sue Semenza, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

Donna is registered as a RR (Registered Representative) and started their career in finance in 1972. Donna has worked at 8 firms and has passed the Series 63, SIE, PC, Series 7, Series 000 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna K. Semenza | Donna Karn Semenza | Donna S. Semenza | Donna Sue Semenza

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) - BD

Click below to view Donna Semenza'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

May 6, 2024 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747
BD
CRD#: 30996
Melville, NY
Past

October 28, 2015 - May 8, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Mitchel Field, NY
Past

February 14, 2003 - October 30, 2015

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

January 8, 2002 - February 12, 2003

MONARCH FINANCIAL CORPORATION OF AMERICA

BD
CRD#: 23437
NEW YORK, NY
Past

November 14, 1996 - December 31, 2001

WORLD FINANCIAL SERVICES, INC.

BD
CRD#: 18461
NEW YORK, NY
Past

September 20, 1982 - November 26, 1996

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

July 3, 1980 - December 8, 1982

M.S. ETHEREDGE & CO., INC.

BD
CRD#: 7648
Past

April 14, 1972 - May 22, 1980

MABON, NUGENT & CO.

BD
CRD#: 2617

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/6/2024)
RR
Colorado
(5/6/2024)
RR
Florida
(5/6/2024)
RR
Maine
(6/5/2024)
RR
Maryland
(7/26/2024)
RR
Massachusetts
(5/6/2024)
RR
Nevada
(5/6/2024)
RR
New Hampshire
(5/6/2024)
RR
New Jersey
(5/6/2024)
RR
New York
(5/6/2024)
RR
Pennsylvania
(5/7/2024)
RR
Virginia
(7/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 3/1/1985
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 12/15/1979
General Securities Representative Examination
General Industry/Product Exam
RR
Series 000
Date: 4/10/1972
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/10/1972
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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.

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996Melville, NY 11747

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