Donna K. Kiernan
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.
Donna Kay Kiernan, who also goes by Donna Kay Schuler, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1997. Donna had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53 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 29, 2009 - January 23, 2014
NEW ENGLAND SECURITIES
January 29, 2009 - January 23, 2014
MSI FINANCIAL SERVICES, INC.
February 20, 2007 - January 23, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
September 21, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 21, 2005 - July 9, 2008
NEW ENGLAND SECURITIES
September 21, 2005 - July 9, 2008
MSI FINANCIAL SERVICES, INC.
September 21, 2005 - September 5, 2013
WALNUT STREET SECURITIES, INC.
September 21, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
June 12, 2000 - February 4, 2005
EQUITABLE ADVISORS, LLC
January 9, 1998 - November 15, 2000
EQUITABLE DISTRIBUTORS, LLC
September 4, 1997 - November 19, 1997
LPL FINANCIAL 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
Current Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
