DK
Donald Kernizan
DFA SECURITIES LLC
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 5563044
DK
Professional summary
Donald Kernizan, who also goes by Donald Kernizon, Donald Theodate, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.
Donald is registered as a RR (Registered Representative) and started their career in finance in 2008. Donald has worked at 8 firms and has passed the Series 66, Series 6TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Donald Kernizon | Donald Theodate
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.
CRS (Client Relationship Summary) - BD
Click below to view Donald Kernizan's 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®
NoneExperience
Current
October 18, 2023 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203BD
CRD#: 10292
Charlotte, NC
Past
March 18, 2022 - October 2, 2023
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
April 28, 2016 - October 15, 2021
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
NEW YORK, NY
Past
September 19, 2013 - April 28, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
December 3, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
October 5, 2012 - May 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
February 15, 2011 - December 22, 2011
GFI SECURITIES LLC
BD
CRD#: 19982
NEW YORK, NY
Past
December 1, 2008 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
BD
CRD#: 118790
NEW YORK, NY
Past
July 21, 2008 - November 28, 2008
KELLOGG CAPITAL GROUP LLC
BD
CRD#: 35032
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/18/2023)
RR
Alaska(10/18/2023)
RR
Arizona(10/18/2023)
RR
Arkansas(10/18/2023)
RR
California(10/18/2023)
RR
Colorado(10/18/2023)
RR
Connecticut(10/18/2023)
RR
Delaware(10/18/2023)
RR
District of Columbia(10/18/2023)
RR
Florida(10/18/2023)
RR
Georgia(10/18/2023)
RR
Idaho(10/18/2023)
RR
Illinois(10/18/2023)
RR
Indiana(10/18/2023)
RR
Iowa(10/18/2023)
RR
Kansas(10/18/2023)
RR
Kentucky(10/18/2023)
RR
Louisiana(10/18/2023)
RR
Maine(10/18/2023)
RR
Maryland(10/18/2023)
RR
Massachusetts(10/18/2023)
RR
Michigan(10/18/2023)
RR
Minnesota(10/18/2023)
RR
Mississippi(10/18/2023)
RR
Missouri(10/18/2023)
RR
Montana(10/18/2023)
RR
Nebraska(10/18/2023)
RR
Nevada(10/18/2023)
RR
New Hampshire(10/18/2023)
RR
New Jersey(10/18/2023)
RR
New Mexico(10/18/2023)
RR
New York(10/18/2023)
RR
North Carolina(10/18/2023)
RR
North Dakota(10/18/2023)
RR
Ohio(10/18/2023)
RR
Oklahoma(10/18/2023)
RR
Oregon(10/18/2023)
RR
Pennsylvania(10/18/2023)
RR
Rhode Island(10/18/2023)
RR
South Carolina(10/18/2023)
RR
South Dakota(10/18/2023)
RR
Texas(10/18/2023)
RR
Utah(10/18/2023)
RR
Vermont(10/18/2023)
RR
Virginia(10/18/2023)
RR
Washington(10/18/2023)
RR
West Virginia(10/18/2023)
RR
Wisconsin(10/18/2023)
RR
Wyoming(10/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/23/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DFA SECURITIES LLC
DFA SECURITIES INC. | DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
6300 Bee Cave Road Building One, Austin, TX 78746
Phone number
(512) 306-7400
Established
Delaware since 04/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
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.
