Donald W. Adams
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 Wayne Adams JR, who also goes by Donald W Adams, Donald Wayne Adams, Donald Wayne Adams Jr, Don Wayne Adams, Don Adams, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2003. Donald had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2019 - December 17, 2019
USAA INVESTMENT SERVICES COMPANY
July 30, 2019 - December 17, 2019
USAA FINANCIAL ADVISORS, INC.
April 5, 2019 - July 16, 2019
HORTER INVESTMENT MANAGEMENT, LLC
February 27, 2017 - January 22, 2019
CHARLES SCHWAB & CO., INC.
February 24, 2017 - January 22, 2019
CHARLES SCHWAB & CO., INC.
October 24, 2014 - April 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2014 - April 17, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 16, 2014 - September 18, 2014
VANGUARD MARKETING CORPORATION
December 5, 2013 - April 2, 2014
EDWARD JONES
September 17, 2013 - April 2, 2014
EDWARD JONES
July 14, 2006 - December 7, 2006
E*TRADE SECURITIES LLC
August 4, 2005 - October 14, 2005
TD AMERITRADE, INC.
August 3, 2005 - October 14, 2005
TD AMERITRADE, INC.
January 12, 2004 - July 22, 2005
AMERIPRISE ADVISOR SERVICES, INC.
January 12, 2004 - July 22, 2005
AMERIPRISE ADVISOR SERVICES, INC.
February 10, 2003 - February 3, 2004
UBS FINANCIAL SERVICES INC.
January 22, 2003 - February 3, 2004
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
