Donald C. Owen
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 Cornelius Owen was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1962. Donald had worked at 7 firms and has passed the Series 63, 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
November 8, 1991 - November 2, 1995
HAPOALIM SECURITIES USA, INC.
October 13, 1989 - June 28, 1991
TALON SECURITIES, INC.
July 29, 1982 - December 5, 1989
LEHMAN BROTHERS INC.
September 29, 1980 - July 15, 1982
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1979 - October 3, 1980
MOSELEY SECURITIES CORPORATION
July 28, 1972 - March 6, 1979
CREDIT SUISSE SECURITIES (USA) LLC
December 31, 1962 - August 15, 1971
WILLIAM BLAIR
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: 8/1/1977
AMEX Put and Call ExamSeries 1
Date: 12/29/1961
Registered Representative ExaminationCurrent Firm
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
