Francis M. Donohue
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.
Francis Michael Donohue JR was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1956. Francis had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2002 - January 30, 2015
ZIV INVESTMENT COMPANY
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 15, 1956 - January 14, 2002
MORGAN STANLEY DW INC.
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 15
Date: 6/7/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 12
Date: 9/26/1972
NYSE Branch Manager ExaminationCurrent Firm
ZIV INVESTMENT COMPANY
CRD#: 4316 / SEC#: , 8-18119
Contact information
FINRA licenses (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 22,915,455 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
