Donovan E. Dorsey
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.
Donovan Evans Dorsey was a registered financial professional .
Donovan is a previously registered financial professional and started their career in finance in 1981. Donovan had worked at 4 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 15, Series 5 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2012 - July 17, 2013
FIRST MIDWEST SECURITIES, INC.
July 16, 2012 - July 17, 2013
FIRST MIDWEST SECURITIES, INC.
November 23, 2010 - August 17, 2011
MORGAN STANLEY
October 27, 2010 - August 17, 2011
MORGAN STANLEY
July 8, 1997 - March 3, 2008
CITIGROUP GLOBAL MARKETS INC.
October 13, 1986 - March 3, 2008
CITIGROUP GLOBAL MARKETS INC.
January 19, 1981 - October 24, 1986
KIDDER, PEABODY & CO. INCORPORATED
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: 4/27/1987
Foreign Currency Options ExaminationSeries 5
Date: 2/10/1982
Interest Rate Options ExaminationSeries 8
Date: 12/21/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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