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PD

Patrick T. Donaghy

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 4470890
PD

Professional summary

Patrick Tien Donaghy, who also goes by Patrick T Donaghy, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2002. Patrick has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick T Donaghy

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) - BD

Click below to view Patrick Tien Donaghy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 18, 2020 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

January 10, 2019 - September 11, 2019

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
Woodbury, MN
Past

January 9, 2019 - January 18, 2019

EQIS SECURITIES, LLC

BD
CRD#: 20633
SAN RAFAEL, CA
Past

November 26, 2018 - January 9, 2019

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
Swarthmore, PA
Past

March 28, 2011 - January 2, 2018

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
GOLDEN VALLEY, MN
Past

January 22, 2007 - February 2, 2011

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

September 9, 2004 - January 17, 2007

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

October 16, 2003 - September 16, 2004

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

January 25, 2002 - February 5, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Iowa
(6/18/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/26/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/1/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/24/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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.

Company Information

ATHENE SECURITIES, LLC

CRD#: 36867West Des Moines, IA 50266

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