DS
Donald P. Southwick
Some features on this profile are disabled
CRD#: 4425538
DS
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 P Southwick, who also goes by Donald P. Southwick, was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 2001. Donald had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Donald P. Southwick
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.
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®
NoneExperience
Past
June 5, 2012 - October 22, 2015
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
TROY, MI
Past
June 1, 2012 - October 22, 2015
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
TROY, MI
Past
October 13, 2010 - June 5, 2012
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
TROY, MI
Past
October 8, 2010 - June 5, 2012
FSC SECURITIES CORPORATION
BD
CRD#: 7461
TROY, MI
Past
May 26, 2009 - October 11, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
TROY, MI
Past
May 22, 2009 - October 11, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
TROY, MI
Past
April 2, 2007 - May 26, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BIRMINGHAM, MI
Past
April 2, 2007 - May 26, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BIRMINGHAM, MI
Past
April 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BIRMINGHAM, MI
Past
April 13, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BIRMINGHAM, MI
Past
October 18, 2001 - May 4, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BIRMINGHAM, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TE
TRUSTEE EMPOWERMENT & PROTECTION, INC.
CSSC INVESTMENT ADVISORY SERVICES, INC. | TRUSTEE EMPOWERMENT & PROTECTION, INC.
CRD#: 108249 / SEC#: 801-60944
RIA
Registered Investment Advisory firm - (2/21/2002 Approved)California
Registered Investment Advisory firm - (3/26/2002 Terminated)Connecticut
Registered Investment Advisory firm - (3/25/2002 Terminated)Delaware
Registered Investment Advisory firm - (3/25/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (3/25/2002 Terminated)Florida
Registered Investment Advisory firm - (3/25/2002 Terminated)Indiana
Registered Investment Advisory firm - (9/28/2002 Terminated)Iowa
Registered Investment Advisory firm - (3/25/2002 Terminated)Kentucky
Registered Investment Advisory firm - (3/25/2002 Terminated)Maine
Registered Investment Advisory firm - (3/26/2002 Terminated)Maryland
Registered Investment Advisory firm - (3/28/2002 Terminated)Massachusetts
Registered Investment Advisory firm - (3/25/2002 Terminated)Michigan
Registered Investment Advisory firm - (3/25/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (3/25/2002 Terminated)New York
Registered Investment Advisory firm - (3/31/2002 Cancelled)North Carolina
Registered Investment Advisory firm - (3/25/2002 Terminated)Ohio
Registered Investment Advisory firm - (3/25/2002 Terminated)Rhode Island
Registered Investment Advisory firm - (4/10/2002 Terminated)Texas
Registered Investment Advisory firm - (3/25/2002 Terminated)Virginia
Registered Investment Advisory firm - (3/25/2002 Terminated)West Virginia
Registered Investment Advisory firm - (3/25/2002 Terminated)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
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TE
TRUSTEE EMPOWERMENT & PROTECTION, INC.
CSSC INVESTMENT ADVISORY SERVICES, INC. | TRUSTEE EMPOWERMENT & PROTECTION, INC.
CRD#: 108249 / SEC#: 801-60944
RIA
Registered Investment Advisory firm - (2/21/2002 Approved)California
Registered Investment Advisory firm - (3/26/2002 Terminated)Connecticut
Registered Investment Advisory firm - (3/25/2002 Terminated)Delaware
Registered Investment Advisory firm - (3/25/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (3/25/2002 Terminated)Florida
Registered Investment Advisory firm - (3/25/2002 Terminated)Indiana
Registered Investment Advisory firm - (9/28/2002 Terminated)Iowa
Registered Investment Advisory firm - (3/25/2002 Terminated)Kentucky
Registered Investment Advisory firm - (3/25/2002 Terminated)Maine
Registered Investment Advisory firm - (3/26/2002 Terminated)Maryland
Registered Investment Advisory firm - (3/28/2002 Terminated)Massachusetts
Registered Investment Advisory firm - (3/25/2002 Terminated)Michigan
Registered Investment Advisory firm - (3/25/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (3/25/2002 Terminated)New York
Registered Investment Advisory firm - (3/31/2002 Cancelled)North Carolina
Registered Investment Advisory firm - (3/25/2002 Terminated)Ohio
Registered Investment Advisory firm - (3/25/2002 Terminated)Rhode Island
Registered Investment Advisory firm - (4/10/2002 Terminated)Texas
Registered Investment Advisory firm - (3/25/2002 Terminated)Virginia
Registered Investment Advisory firm - (3/25/2002 Terminated)West Virginia
Registered Investment Advisory firm - (3/25/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
755 West Big Beaver Road Suite 101, Troy, MI 48084-4904
Mailing Address
Phone number
(248) 797-0500
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 8,517,499 |
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.
