Michael P. Donnelly
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.
Michael Patrick Donnelly, CFP®, who also goes by Michael P Donnelly, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
February 13, 2020 - December 6, 2023
KARPUS INVESTMENT MANAGEMENT
September 5, 2013 - September 10, 2018
HIGH FALLS ADVISORS, INC.
June 28, 2013 - October 2, 2018
LEIGH BALDWIN & CO., LLC
July 6, 2012 - June 28, 2013
WALL STREET FINANCIAL GROUP, INC.
April 16, 2012 - June 28, 2013
WALL STREET FINANCIAL GROUP, INC.
August 19, 2004 - March 27, 2012
STRATEGIC ADVISERS LLC
August 3, 2004 - March 26, 2012
FIDELITY BROKERAGE SERVICES LLC
April 25, 2000 - July 19, 2004
VANGUARD ADVISERS, INC.
July 2, 1998 - April 1, 2003
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
KARPUS INVESTMENT MANAGEMENT
CRD#: 110275 / SEC#: 801-29607
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
KARPUS INVESTMENT MANAGEMENT
CRD#: 110275 / SEC#: 801-29607
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,279 |
| AUM (Assets Under Management) | $ 4,010,769,565 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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