Donald Mutterperl
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.
Donald Mutterperl, who also goes by Mutterperl Donald, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 9 firms and has passed the Series 63, SIE, Series 5 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2007 - January 14, 2015
CASTLEOAK SECURITIES, LP
November 6, 2000 - May 29, 2007
BLAYLOCK & COMPANY, INC.
July 25, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
January 31, 1980 - November 29, 2000
UBS FINANCIAL SERVICES INC.
August 14, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 17, 1976 - September 17, 1978
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
November 24, 1972 - November 8, 1974
HAYDEN STONE INC.
May 19, 1969 - December 3, 1972
F I DUPONT GLORE FORGAN & CO
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
Series 5
Date: 3/24/1982
Interest Rate Options ExaminationSeries 40
Date: 4/19/1968
Registered Principal ExaminationCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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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