Dawn M. Donato
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.
Dawn Marie Donato, who also goes by Dawn-marie Donato, Dawnmarie Donato, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1997. Dawn had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - July 5, 2018
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 3, 2012 - July 6, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 3, 2012 - July 6, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 3, 2011 - December 31, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 3, 2011 - December 31, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 11, 2007 - January 3, 2011
HEROLD ADVISORS, INC.
June 11, 2007 - December 22, 2010
BERNARD HEROLD & CO., INC.
October 26, 2006 - June 26, 2007
UBS FINANCIAL SERVICES INC.
October 26, 2006 - June 26, 2007
UBS FINANCIAL SERVICES INC.
August 27, 2002 - October 2, 2006
G.RESEARCH, LLC
January 1, 2002 - August 2, 2002
JOHN HANCOCK DISTRIBUTORS LLC
December 17, 1997 - January 1, 2002
MANULIFE WOOD LOGAN, 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
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
