Donald E. Rowell
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 Eugene Rowell was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1997. Donald had worked at 9 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
February 22, 2008 - September 22, 2015
MODERN CAPITAL SECURITIES INC.
December 6, 2007 - September 22, 2015
MODERN CAPITAL SECURITIES INC.
August 12, 2004 - December 6, 2007
SECURITIES AMERICA ADVISORS, INC.
August 12, 2004 - December 6, 2007
SECURITIES AMERICA, INC.
July 5, 2001 - August 9, 2004
A. G. EDWARDS & SONS, INC.
June 22, 2001 - August 9, 2004
A. G. EDWARDS & SONS, INC.
December 14, 2000 - July 13, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - July 13, 2001
WELLS FARGO INVESTMENTS, LLC
July 14, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 14, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
May 21, 1998 - June 30, 2000
KFS BD, INC.
October 6, 1997 - June 8, 1998
GUARDIAN INVESTOR SERVICES 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
MODERN CAPITAL SECURITIES INC.
CRD#: 130876 / SEC#: , 8-66403
Contact information
FINRA licenses (34 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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