Donald N. Oncken
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 N Oncken was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 7 firms and has passed the Series 63, SIE, Series 31, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2003 - October 27, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 2, 1993 - December 5, 2002
MORGAN STANLEY DW INC.
September 4, 1990 - August 13, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 4, 1978 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
June 25, 1975 - April 4, 1978
LOEWI & CO., INCORPORATED
November 8, 1973 - August 11, 1975
CITIGROUP GLOBAL MARKETS INC.
June 2, 1969 - June 18, 1975
THE MARSHALL COMPANY, INC.
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
PC
Date: 8/12/1977
AMEX Put and Call ExamSeries 1
Date: 5/23/1969
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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