Donna L. Pleasant

VISION CAPITAL & MANAGEMENT

MOORESVILLE, NC

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CRD#: 4927208

Professional summary

Donna Lee Pleasant is a registered financial advisor currently at VISION CAPITAL & MANAGEMENT located in Mooresville, North Carolina.

Donna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Donna has worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Donna Lee Pleasant'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

October 13, 2016 - Present

VISION CAPITAL & MANAGEMENT

RIA

CRD#: 118363

MOORESVILLE, NC

Past

May 26, 2016 - July 12, 2022

FSC SECURITIES CORPORATION

CRD#: 7461

DAVIDSON, NC

Past

October 6, 2011 - January 20, 2016

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

July 6, 2005 - September 1, 2010

UWHARRIE INVESTMENT ADVISORS, INC.

RIA

CRD#: 117592

ALBEMARLE, NC

Past

June 21, 2005 - June 21, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

ALBEMARLE, NC

Past

April 6, 2005 - September 3, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

ALBEMARLE, NC

Past

March 29, 2005 - July 6, 2005

THE STRATEGIC ALLIANCE CORPORATION

CRD#: 32788

ALBEMARLE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VISION CAPITAL & MANAGEMENT

VISION CAPITAL | VISISON CAPITAL | VISION CAPITAL MANAGEMENT CORPORATION | VISION CAPITAL MANAGEMENT CORP. | VISION CAPITAL & MANAGEMENT

CRD#: 118363 / SEC#: 801-66188

RIA

Registered Investment Advisory firm - (5/15/2006 Approved)

North Carolina

Registered Investment Advisory firm - (12/13/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(10/13/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2005

General Securities Representative Examination

Current Firm

VISION CAPITAL & MANAGEMENT

VISION CAPITAL | VISISON CAPITAL | VISION CAPITAL MANAGEMENT CORPORATION | VISION CAPITAL MANAGEMENT CORP. | VISION CAPITAL & MANAGEMENT

CRD#: 118363 / SEC#: 801-66188

RIA

Registered Investment Advisory firm - (5/15/2006 Approved)

North Carolina

Registered Investment Advisory firm - (12/13/2006 Terminated)

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Contact information

Main Address

108 South Main Street Suite B, Davidson, NC 28036

Mailing Address

Po Box 1750, Davidson, NC 28036

Phone number

(704) 894-9639

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VISION CAPITAL & MANAGEMENT ADV BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 120,920,910

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.

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Donna L. Pleasant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donna Lee Pleasant's CRS (Customer Relationship Summary).

Certified licenses

Experience

VISION CAPITAL & MANAGEMENT

FSC SECURITIES CORPORATION

VANGUARD MARKETING CORPORATION

UWHARRIE INVESTMENT ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

THE STRATEGIC ALLIANCE CORPORATION

Primary Firm SEC Registration

VISION CAPITAL & MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2016

Series 66

Date: 6/15/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/28/2005

Current Firm

VISION CAPITAL & MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISION CAPITAL & MANAGEMENT

TRUST BUT VERIFY

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