Jonathan C. Dornan
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.
Jonathan Carl Dornan, who also goes by Jonathan Dornan, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2011. Jonathan had worked at 3 firms and has passed the Series 65, Series 63, SIE 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
January 29, 2013 - December 15, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
January 29, 2013 - November 21, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2012 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2011 - May 1, 2012
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
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.
