Donald L. Walford
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 Lee Walford, who also goes by Don Walford, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1968. Donald had worked at 14 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1994 - December 22, 1994
PAULSON INVESTMENT COMPANY LLC
January 4, 1993 - February 24, 1994
WALFORD & COMPANY, INC.
January 10, 1991 - January 28, 1992
DICKINSON & CO.
August 23, 1989 - September 5, 1989
WILSHIRE CLEARING CORPORATION
August 22, 1988 - July 27, 1989
R.B. MARICH, INC.
January 13, 1987 - August 16, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
August 29, 1984 - February 24, 1986
SWARTWOOD, HESSE INC.
July 2, 1979 - August 20, 1986
WALFORD, DEMARET & CO., INC.
September 30, 1976 - October 15, 1983
COLUMBINE SECURITIES, INC.
June 6, 1974 - October 4, 1976
INSTITUTIONAL SECURITIES OF COLORADO, INC.
October 1, 1973 - July 8, 1974
E. F. HUTTON & COMPANY INC
May 8, 1972 - September 30, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
March 17, 1972 - May 24, 1972
BODELL OVERCASH ANDERSON & CO., INC.
February 27, 1968 - April 13, 1972
BACHE & CO INCORPORATED
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: 2/26/1968
Registered Representative ExaminationSeries 00
Date: 9/26/1975
General Securities Principal ExaminationCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
