Donald J. Waugh
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 Joseph Waugh, who also goes by Don Waugh Jr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2003. Donald had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2008 - December 10, 2008
SYNERGY INVESTMENT GROUP, LLC
September 20, 2007 - December 31, 2012
AMERICAN INVESTMENT SERVICES
November 4, 2005 - August 7, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 19, 2005 - November 3, 2005
VOYA FINANCIAL ADVISORS, INC.
September 9, 2003 - October 20, 2004
LEGACY FINANCIAL SERVICES, INC.
April 22, 2003 - September 8, 2003
AVANTAX INVESTMENT SERVICES, INC.
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
SYNERGY INVESTMENT GROUP, LLC
CRD#: 46035 / SEC#: 801-68315, 8-51278
Contact information
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 53,106,235 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
