Donald A. Duarte
Professional summary
Donald Anthony Duarte JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Donald had worked at 6 firms, which includes WELLS FARGO INVESTMENTS LLC, BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, WALDRON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2006 - May 14, 2009
WELLS FARGO INVESTMENTS, LLC
August 28, 2006 - May 14, 2009
WELLS FARGO INVESTMENTS, LLC
October 20, 2004 - August 29, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - August 29, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 5, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 5, 2002 - October 20, 2004
QUICK & REILLY, INC.
December 15, 2000 - September 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 2, 1998 - December 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1997 - February 9, 1998
WALDRON & CO., INC.
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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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