Moira M. Donovan
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.
Moira Melloy Donovan, who also goes by Moira Elizabeth Melloy, was a registered financial professional .
Moira is a previously registered financial professional and started their career in finance in 1997. Moira had worked at 6 firms and has passed the SIE, Series 62, Series 7, Series 24 and Series 8 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, 2018 - June 22, 2018
DC ADVISORY
November 10, 2016 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
March 28, 2013 - October 31, 2016
SC&H CAPITAL CORPORATION
December 1, 2005 - April 4, 2007
FRANKLIN DISTRIBUTORS, LLC
October 27, 1999 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 11, 1997 - November 3, 1999
DB ALEX. BROWN LLC
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 62
Date: 3/25/2013
Corporate Securities Limited Representative ExaminationSeries 8
Date: 4/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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.
