Donna L. Ciminera
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 Lee Ciminera, who also goes by Donna Lee Borrelli, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1997. Donna had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
December 13, 2024 - October 17, 2025
CETERA INVESTMENT ADVISERS LLC
December 13, 2024 - October 17, 2025
CETERA INVESTMENT SERVICES LLC
April 27, 2020 - December 12, 2024
CUSO FINANCIAL SERVICES, L.P.
April 27, 2020 - December 12, 2024
CUSO FINANCIAL SERVICES, L.P.
November 16, 2018 - March 16, 2020
CHESTERBROOK CAPITAL
March 9, 2015 - October 8, 2018
CAPITAL ONE ADVISORS, LLC
March 9, 2015 - October 8, 2018
CAPITAL ONE INVESTING, LLC
May 17, 2006 - February 23, 2015
BLACKROCK FINANCIAL MANAGEMENT, INC
May 23, 2005 - May 17, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
May 23, 2005 - February 23, 2015
BLACKROCK INVESTMENTS, LLC
August 5, 2003 - April 27, 2005
BLACKROCK INVESTMENTS, LLC
October 27, 1997 - August 5, 2003
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
