Donna F. Cockrell
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.
Donna Frances Cockrell, who also goes by Donna F Denk, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1999. Donna had worked at 4 firms and has passed the Series 66, 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
March 10, 2014 - December 31, 2017
ROTHSCHILD WEALTH LLC
June 4, 2012 - February 28, 2017
AUSDAL FINANCIAL PARTNERS, INC.
September 11, 2002 - June 6, 2012
OSAIC FA, INC.
July 28, 1999 - March 27, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 28, 1999 - June 6, 2012
OSAIC FA, INC.
Primary Firm SEC Registration
ROTHSCHILD WEALTH LLC
CRD#: 162442 / SEC#: 801-74818
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
ROTHSCHILD WEALTH LLC
CRD#: 162442 / SEC#: 801-74818
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,878 |
| AUM (Assets Under Management) | $ 751,143,585 |
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.
