Patrick M. Donza
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.
Patrick Michael Donza was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1970. Patrick had worked at 12 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2014 - January 6, 2016
KILEY PARTNERS, INC.
October 28, 2011 - August 25, 2014
HERBERT J. SIMS & CO, INC.
April 8, 2009 - November 2, 2011
KILEY PARTNERS, INC.
August 3, 2005 - March 19, 2007
THE RIDERWOOD GROUP INCORPORATED
July 28, 2003 - August 22, 2003
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 3, 2002 - February 7, 2003
CGS FINANCIAL INC.
April 22, 1999 - May 23, 2000
GREENWICH PARTNERS, LLC
April 6, 1999 - April 20, 1999
NUVEEN SECURITIES, LLC
February 12, 1985 - February 23, 1998
UBS FINANCIAL SERVICES INC.
September 20, 1977 - February 7, 1985
SBC WARBURG DILLON READ INC.
August 30, 1976 - September 17, 1977
W. H. MORTON & CO.
March 1, 1972 - February 5, 1974
W H MORTON & CO INCORPORATED
July 8, 1970 - April 1, 1972
CITIGROUP GLOBAL MARKETS 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 1
Date: 6/29/1970
Registered Representative ExaminationCurrent Firm
KILEY PARTNERS, INC.
CRD#: 37814 / SEC#: , 8-48050
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KILEY, MICHAEL DOUGLAS | C.E.O., FINOP, CCO, COO | 1550462 |
Disclosures
| Regulatory Event | 4 |
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.
