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DS

Donald C. Seifert

FOLLA CAPITAL
Wilmington, NC 28403
Some features on this profile are disabled
CRD#: 2936785
DS

Professional summary

Donald Clemens Seifert Jr, who also goes by Clem Seifert Jr, is a registered financial professional currently at FOLLA CAPITAL, LLC located in Wilmington, North Carolina.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1997. Donald has worked at 6 firms and has passed the Series 63, Series 66, Series 79TO, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clem Seifert Jr

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 Clemens Seifert 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

November 5, 2020 - Present

FOLLA CAPITAL, LLC

Office #1: 3722 Shipyard Boulevard, Suite E, Wilmington, NC 28403Office #2: 3722 Shipyard Boulevard Suite E, Wilmington, NC 28403
BD
CRD#: 305140
Wilmington, NC
Past

February 23, 2018 - May 9, 2018

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
Wilmington, NC
Past

July 16, 2012 - March 31, 2014

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
WILMINGTON, NC
Past

May 11, 2012 - March 21, 2017

IRONGATE PARTNERS, INC.

RIA
CRD#: 118472
WILMINGTON, NC
Past

March 26, 2012 - July 16, 2012

TRIAD ADVISORS LLC

BD
CRD#: 25803
WILMINGTON, NC
Past

June 20, 2008 - March 9, 2012

EDWARD JONES

RIA
CRD#: 250
HENDERSON, NC
Past

October 1, 1997 - March 9, 2012

EDWARD JONES

BD
CRD#: 250
HENDERSON, NC

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
North Carolina
(11/13/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/18/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/28/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/22/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FOLLA CAPITAL, LLC
FOLLA CAPITAL, LLC

CRD#: 305140 / SEC#: , 8-70399

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

Main Address
3722 Shipyard Boulevard, Suite E, Wilmington, NC 28403
Mailing Address
3722 Shipyard Boulevard, Suite E, Wilmington, NC 28403
Phone number
(910) 269-7564
Established
North Carolina since 07/03/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 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#
FRANKLIN, CHRISTOPHERCCO/FINOP
PANACCIONE, JOHN THOMASCTO7211958
SEIFERT, DONALD CLEMENS JRCEO

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

FOLLA CAPITAL, LLC

CRD#: 305140Wilmington, NC 28403

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