Donald E. Nivens
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 Edward Nivens, who also goes by Eddy Nivens, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1996. Donald had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - November 27, 2012
QUEST CAPITAL STRATEGIES, INC.
January 11, 2012 - November 27, 2012
QUEST CAPITAL STRATEGIES, INC.
October 23, 2009 - February 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 11, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2005 - June 13, 2006
WELLS FARGO SECURITIES, LLC
September 4, 2002 - September 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - August 14, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 2, 1999 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
August 19, 1998 - August 31, 1999
BB&T INVESTMENT SERVICES, INC.
August 23, 1996 - August 14, 1998
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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