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Donald Charles Leary Jr.

CRD# 4822972·Registered 2004 - 2014
Previously Registered: Being a previously registered professional could mean that Donald 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.

Professional Summary

Donald Charles Leary JR. was a registered financial advisor. Donald was a previously registered financial professional and started their career in finance 2004 - 2014. Donald had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

MISSION CAPITAL LLC·CRD# 148006
BD
New York, NY
November 6, 2013 - June 24, 2014
NEW ALBION PARTNERS LLC·CRD# 119518
BD
New York, NY
August 27, 2013 - October 20, 2016
BROOKLINE GROUP, LLC·CRD# 153587
BD
Newport Beach, CA
January 31, 2012 - August 20, 2013
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
August 20, 2007 - January 31, 2012
IMPERIAL CAPITAL, LLC·CRD# 43744
BD
Los Angeles, CA
February 2, 2007 - August 17, 2007
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
July 29, 2004 - February 2, 2007

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Current Firm

MC
MISSION CAPITAL LLC

GSSG CAPITAL, LLC | MISSION CAPITAL LLC | HEXAGON SECURITIES, LLC | HEXAGON SECURITIES LLC

CRD#: 148006 / SEC#: 8-67946
BD
Terminated by SEC on 05/10/2015

Contact Information

Established

Delaware since 04/02/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JAMES, BRIAN MATTHEWPRESIDENT AND CHIEF COMPLIANCE OFFICER2561545
MESSINEO, JOSEPH JRBOARD MEMBER2855964
MURRAY, STEPHANIE AMUNDSENFINOP5469680
PATEL, SHAMI JITENDRAINVESTMENT BANKING1739169

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2004About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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DL
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