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DD

Donna Davis

SS&C MARKET SERVICES
Edina, MN 55435
Some features on this profile are disabled
CRD#: 3169398
DD

Professional summary

Donna Davis, who also goes by Donna L Cole, Donna L Davis, is a registered financial professional currently at SS&C MARKET SERVICES, LLC located in Edina, Minnesota.

Donna is registered as a RR (Registered Representative) and started their career in finance in 2000. Donna has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donna L Cole | Donna L Davis

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 Donna Davis's 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

March 24, 2021 - Present

SS&C MARKET SERVICES, LLC

Office #1: 7650 Edinborough Way Suite 400, Edina, MN 55435
BD
CRD#: 23568
Edina, MN
Past

May 2, 2007 - September 30, 2020

MISSIONSQUARE RETIREMENT

RIA
CRD#: 108783
WASHINGTON, DC
Past

May 2, 2007 - September 30, 2020

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
WASHINGTON, DC
Past

August 7, 2006 - March 30, 2007

M&T SECURITIES, INC.

RIA
CRD#: 17358
WALDORF, MD
Past

August 7, 2006 - March 30, 2007

M&T SECURITIES, INC.

BD
CRD#: 17358
WALDORF, MD
Past

September 2, 2005 - June 30, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA
CRD#: 3641
FORT WORTH, TX
Past

August 5, 2005 - September 2, 2005

FIRST COMMAND BANK

RIA
CRD#: 128851
FORT WORTH, TX
Past

August 4, 2005 - June 30, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
FORT WORTH, TX
Past

July 1, 2003 - July 25, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WASHINGTON, DC
Past

July 1, 2003 - July 25, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 29, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
WASHINGTON, DC
Past

September 7, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 8, 2000 - June 28, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Maryland
(3/24/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/18/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

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

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042
STUCKY, TODD DOUGLASFINOP, PRINCIPAL FINANCIAL OFFICER1551348

Disclosures

Regulatory Event1

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

SS&C MARKET SERVICES, LLC

CRD#: 23568Edina, MN 55435

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