Donald C. Davis
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.
Donald Carl Davis, who also goes by Don Davis, Donald C Davis, Donald Carl Davis, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2010. Donald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2021 - December 21, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 6, 2021 - December 19, 2022
FIDELITY BROKERAGE SERVICES LLC
October 17, 2019 - August 6, 2021
CETERA WEALTH SERVICES, LLC
October 17, 2019 - August 6, 2021
CETERA WEALTH SERVICES, LLC
March 5, 2019 - September 10, 2019
TD AMERITRADE, INC.
March 5, 2019 - September 10, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 5, 2019 - September 10, 2019
TD AMERITRADE, INC.
December 4, 2017 - February 19, 2019
BROOKSTONE WEALTH ADVISORS, LLC
June 6, 2017 - December 1, 2017
OAK POINT WEALTH MANAGEMENT, LLC
April 25, 2012 - September 11, 2017
OAK POINT FINANCIAL GROUP
March 30, 2012 - November 28, 2017
LPL FINANCIAL LLC
November 19, 2010 - March 6, 2012
PRUCO SECURITIES, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
