Donald W. Sigmund
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 William Sigmund was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1968. Donald had worked at 10 firms and has passed the SIE 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
August 30, 2010 - November 19, 2014
KESTRA INVESTMENT SERVICES, LLC
July 21, 2006 - September 3, 2010
MML INVESTORS SERVICES, LLC
October 27, 2000 - April 4, 2006
M HOLDINGS SECURITIES, INC.
February 3, 1993 - October 27, 2000
MUTUAL SERVICE CORPORATION
May 28, 1987 - May 23, 1990
PRUCO SECURITIES, LLC.
September 16, 1985 - November 3, 1988
USLIFE EQUITY SALES CORP.
May 1, 1979 - November 3, 1988
USLIFE EQUITY SALES CORP.
January 1, 1975 - January 18, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 1, 1975 - January 18, 1993
OSAIC FA, INC.
April 24, 1974 - May 1, 1979
USLIFE EQUITY SALES CORP
July 24, 1968 - June 8, 1974
ILG SECURITIES CORPORATION
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 1
Date: 7/3/1968
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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