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Donald C. Carey

Some features on this profile are disabled
CRD#: 6144290
DC

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 Collins Carey Jr, who also goes by Donald C Carey Jr., Donald Collins Carey Jr., Donald Collins Carey, Donnie Carey, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2014. Donald had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald C Carey Jr. | Donald Collins Carey Jr. | Donald Collins Carey | Donnie Carey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 17, 2016 - October 14, 2022

SHOREBRIDGE CAPITAL SECURITIES, LLC

BD
CRD#: 269991
NEW YORK, NY
Past

May 20, 2015 - February 8, 2016

SPP CAPITAL PARTNERS L L C

BD
CRD#: 38103
New York, NY
Past

June 2, 2014 - May 26, 2015

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/28/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2014
General Securities Representative Examination

Current Firm

SC
SHOREBRIDGE CAPITAL SECURITIES, LLC
SHOREBRIDGE CAPITAL ADVISORS, LLC | SHOREBRIDGE CAPITAL SECURITIES, LLC

CRD#: 269991 / SEC#: , 8-69644

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
350 Springfield Avenue Suite #200, Summit, NJ 07901
Mailing Address
350 Springfield Avenue Suite #200, Summit, NJ 07901
Phone number
(646) 869-8791
Established
Delaware since 05/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHOREBRIDGE CAPITAL PARTNERS, LLCMEMBER
BLAGDON, DOUGLAS MILLSCHIEF COMPLIANCE OFFICER1789722
BLAGDON, DOUGLAS MILLSCEO1789722
PARISE, JANICE DRUFINOP2338583

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.

Company Information

SHOREBRIDGE CAPITAL SECURITIES, LLC

CRD#: 269991

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