Nicholas M. Donahue
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.
Nicholas Michael Donahue was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2007. Nicholas had worked at 3 firms and has passed the Series 63, SIE, Series 21, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2012 - October 4, 2014
STERNE, AGEE & LEACH, INC.
December 2, 2008 - June 15, 2010
KELLOGG CAPITAL MARKETS, LLC
July 25, 2007 - November 28, 2008
KELLOGG CAPITAL GROUP 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
Series 21
Date: 4/30/2009
NYSE Front Line Specialist ClerkSeries 25
Date: 2/26/2009
NYSE Trading Assistant ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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