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JD

John W. Donovan

DCMB SECURITIES LLC
Houston, TX 77027
Some features on this profile are disabled
CRD#: 3254747
JD

Professional summary

John William Donovan JR., who also goes by John William Donovan, is a registered financial professional currently at DCMB SECURITIES LLC located in Houston, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John William Donovan

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 John William Donovan JR.'s CRS (Customer Relationship Summary).
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

July 22, 2008 - Present

DCMB SECURITIES LLC

Office #1: 1700 West Loop South, Suite 450, Houston, TX 77027Office #2: 1700 West Loop South, Suite 450, Houston, TX 77027
BD
CRD#: 146578
Houston, TX
Past

March 18, 2008 - December 31, 2013

SOUTHWESTERN GROWTH PARTNERS

RIA
CRD#: 146175
HOUSTON, TX

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
California
(6/27/2024)
RR
Florida
(8/1/2024)
RR
Georgia
(6/24/2024)
RR
Massachusetts
(7/5/2024)
RR
Minnesota
(6/21/2024)
RR
New Jersey
(7/9/2024)
RR
Ohio
(6/26/2024)
RR
Texas
(5/9/2008)
RR
Virginia
(7/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/21/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/16/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DCMB SECURITIES LLC
DCMB SECURITIES LLC

CRD#: 146578 / SEC#: , 8-67831

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

Main Address
1700 West Loop South, Suite 450, Houston, TX 77027
Mailing Address
1700 West Loop South, Suite 450, Houston, TX 77027
Phone number
(713) 202-4903
Established
Texas since 11/15/2007
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DONOVAN, JOHN WILLIAM JR.MANAGING MEMBER/PRESIDENT/SECRETARY/DESIGNATED PRINCIPAL/CCO
HUNT, DAVID LEEFINOP

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

DCMB SECURITIES LLC

CRD#: 146578Houston, TX 77027

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