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DN

Donald C. Novak

TRAILMARK
Atlanta, GA 30326-1352
Some features on this profile are disabled
CRD#: 2712049
DN

Professional summary

Donald Charles Novak JR is a registered financial professional currently at TRAILMARK INC. located in Atlanta, Georgia.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1996. Donald has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Donald Charles Novak JR'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

February 1, 2017 - Present

TRAILMARK INC.

Office #1: 3355 Lenox Road Ne Suite 805, Atlanta, GA 30326-1352
BD
CRD#: 104408
Atlanta, GA
Past

October 13, 2014 - January 18, 2017

ANTHEM SECURITIES, INC.

BD
CRD#: 42420
Peachtree Corners, GA
Past

January 14, 2008 - January 22, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
ATLANTA, GA
Past

July 24, 2006 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
ATLANTA, GA
Past

October 29, 2004 - May 26, 2006

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
CHARLOTTE, NC
Past

August 26, 2002 - November 2, 2004

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CHARLOTTE, NC
Past

August 7, 2002 - November 2, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 11, 2002 - June 24, 2002

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 13, 2001 - October 29, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 19, 2000 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

October 1, 1999 - March 8, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 19, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

April 25, 1996 - October 14, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Georgia
(2/1/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/1996
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
Series 31
Date: 5/10/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRAILMARK INC.
FORTRESS GROUP, INC. | TRAILMARK INC. | FORTRESS WILLIAMSON SECURITIES, INC.

CRD#: 104408 / SEC#: , 8-52864

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

Main Address
3355 Lenox Road Ne Suite 805, Atlanta, GA 30326-1352
Mailing Address
P.o. Box 190549, Atlanta, GA 31119
Phone number
(404) 900-5501
Established
Georgia since 08/07/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
CAPUTO, CHRISTOPHER JOSEPHPRESIDENT/MANAGING DIRECTOR/50% STOCKHOLDER1734605
WILLIAMSON, BRUCE ALANCFO/VP/CORPORATE SECRETARY/MANAGING DIRECTOR/50% STOCKHOLDER1923210
WILLIAMSON, BRUCE ALANCHIEF COMPLIANCE OFFICER, FINOP1923210

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

TRAILMARK INC.

CRD#: 104408Atlanta, GA 30326-1352

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