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DS

Donald J. Saccomano

Some features on this profile are disabled
CRD#: 408673
DS

Professional summary

Donald John Saccomano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Donald had worked at 7 firms, which includes SOURCE CAPITAL GROUP INC., JANNEY MONTGOMERY SCOTT LLC, MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC., A. G. EDWARDS & SONS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Saccomano

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 22, 2011 - October 14, 2016

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

August 29, 2003 - March 14, 2011

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
DARIEN, CT
Past

February 13, 1998 - September 4, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 28, 1995 - March 3, 1998

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 23, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

August 17, 1989 - January 21, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 28, 1989 - August 4, 1989

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

September 29, 1982 - August 26, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 9/19/1967
Registered Representative Examination

Current Firm

SC
SOURCE CAPITAL GROUP, INC.
SOURCE CAPITAL GROUP, INC. | SOURCE SECURITIES, INC.

CRD#: 36719 / SEC#: 801-88199, 8-47372

BD
Terminated by SEC on 04/18/2017
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Contact information

Main Address
276 Post Road West, Westport, CT 06880
Mailing Address
Phone number
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SOURCE CAPITAL FORM ADV PART 2A JULY 11, 2017 (7/11/2017)

Direct owners and executive officers

NamePositionCRD#
HARRIS, DAVID WEBSTERPRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM237802

Disclosures

Regulatory Event9
Arbitration3

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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Company Information

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

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