Briggs R. Donaldson
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.
Briggs R Donaldson was a registered financial professional .
Briggs is a previously registered financial professional and started their career in finance in 2006. Briggs had worked at 4 firms and has passed the Series 63, SIE, Series 82, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2017 - August 22, 2018
LIGHTPATH CAPITAL, INC
August 26, 2014 - April 13, 2016
CAPITAL DYNAMICS BROKER DEALER LLC
June 30, 2010 - December 14, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
April 20, 2006 - June 29, 2010
SANFORD C. BERNSTEIN & CO., LLC
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
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 States and Territories)
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.
