Donald D. Simpson
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 Douglas Malcolm Simpson, who also goes by Donald D M Simpson, Donald Douglasmalcolm Simpson, Donald Malcolm Simpson, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 9 firms and has passed the Series 63, 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
July 2, 2018 - December 9, 2025
WALL STREET ACCESS
January 10, 2007 - July 3, 2018
VANDHAM SECURITIES CORP.
May 4, 2006 - June 26, 2006
G-2 TRADING,LLC
January 9, 2006 - November 1, 2006
CARLIN EQUITIES, LLC
October 30, 1993 - April 8, 1996
NEEDHAM & COMPANY, LLC
February 26, 1993 - May 26, 1993
FIRST NEW YORK SECURITIES L.L.C.
June 9, 1980 - June 29, 1994
MORGAN STANLEY & CO. LLC
April 25, 1977 - July 6, 1980
KEEFE, BRUYETTE & WOODS, INC.
December 10, 1970 - May 6, 1977
MABON, NUGENT & 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 1
Date: 9/8/1969
Registered Representative ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
