Donald W. Brasfield
Professional summary
Donald Wayne Brasfield JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Donald had worked at 10 firms, which includes GMS GROUP, PARAGON CAPITAL MARKETS INC., AMUNI FINANCIAL INC., J. W. GANT & ASSOCIATES INC., PRUDENTIAL EQUITY GROUP LLC, MUNICIPAL SECURITIES INCORPORATED, TITAN/VALUE EQUITIES GROUP INC., AMERICAN EXPRESS FINANCIAL CORPORATION, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 1997 - February 23, 1998
GMS GROUP
December 4, 1995 - June 19, 1997
PARAGON CAPITAL MARKETS, INC.
January 6, 1995 - November 1, 1995
AMUNI FINANCIAL, INC.
September 4, 1992 - November 15, 1994
GMS GROUP
March 12, 1992 - July 10, 1992
J. W. GANT & ASSOCIATES, INC.
January 22, 1992 - February 14, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 6, 1986 - January 23, 1992
MUNICIPAL SECURITIES, INCORPORATED
February 23, 1983 - December 19, 1985
TITAN/VALUE EQUITIES GROUP, INC.
November 26, 1980 - February 17, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
November 26, 1980 - February 17, 1983
IDS LIFE INSURANCE COMPANY
November 26, 1980 - February 18, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
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
GMS GROUP
CRD#: 8000 / SEC#: 801-126662, 8-23936
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GMS GROUP HOLDINGS CORP | MEMBER | |
| CAPONE, CARMINE CLAUDIO | EXECUTIVE VICE PRESIDENT/DIRECTOR | 1124455 |
| DEMBOWSKI, DANIELLE DENISE | CHIEF FINANCIAL OFFICER | 5855269 |
| DONOHUE, TIMOTHY JOSEPH | SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO | 725373 |
| DONOHUE, TIMOTHY JOSEPH | PRESIDENT | 725373 |
| ESTANISLAO, LEONARDO | CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR | 4622553 |
| FELDMAN, JUSTYN SETH | SENIOR VICE PRESIDENT - DIRECTOR | 2283535 |
| FELDMAN, MELVIN | DIRECTOR, SR VICE PRESIDENT | 205924 |
| KONSIG, PAUL ROBERT | CEO | 500443 |
| KONSIG, PAUL ROBERT | DIRECTOR | 500443 |
| KOROSTOFF, DAVID BRUCE | DIRECTOR, SR. VICE PRESIDENT | 1205712 |
| LENZI, JEFFREY PAUL | SENIOR VICE PRESIDENT/DIRECTOR | 2452390 |
| LIPMAN, MATTHEW ERIC | SECRETARY | 2367335 |
| MANTE, PAUL DAVID | SENIOR VICE PRESIDENT - DIRECTOR | 4911949 |
| MCKENNA, MICHAEL JAMES | EXECUTIVE VICE PRESIDENT | 1524460 |
| PRICE, BARBARA BENEDICT | DIRECTOR, SR. VICE PRESIDENT | 17944 |
| VESSELS, STEPHEN GLENN | SENIOR VICE PRESIDENT/DIRECTOR | 2403660 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 13,887,060 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
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