Donna L. Morris
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.
Donna Lee Morris, who also goes by Donna Lee Clark, Donna Lee Selby, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1981. Donna had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1993 - May 16, 1995
AFS BROKERAGE, INC.
June 18, 1991 - November 6, 1991
CHATFIELD DEAN & CO., INC.
December 21, 1987 - July 16, 1990
CITISTREET EQUITIES LLC
March 13, 1987 - August 19, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
April 23, 1986 - January 20, 1987
R.B. MARICH, INC.
July 16, 1985 - May 12, 1986
J. W. GANT & ASSOCIATES, INC.
July 8, 1983 - July 19, 1985
BENTLEY INVESTMENTS, INC.
March 25, 1983 - June 7, 1983
E.C. FARNSWORTH & COMPANY, INC.
April 6, 1982 - March 28, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
February 25, 1982 - April 12, 1982
MORRIS BRIDGER SECURITIES, INC
May 18, 1981 - February 9, 1982
CHESLEY AND DUNN, 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
Current Firm
AFS BROKERAGE, INC.
CRD#: 25924 / SEC#: , 8-42170
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AFS HOLDINGS CORP. | DIRECT OWNER | |
| HURWITZ, DONALD CLIFFORD | PRESIDENT, CEO | 2934017 |
| KOCZERA, LYNN COLTON | CHIEF FINANCIAL OFFICER; FIN OP | 1065105 |
| LAYNE, CYNTHIA ANNE | MUNICIPALS PRINCIPAL | 1441222 |
| LAYNE, CYNTHIA ANNE | SROP | 1441222 |
| LAYNE, CYNTHIA ANNE | MANAGER OF OPERATIONS/SUPERVISOR | 1441222 |
| SHADE, KENNETH EUGENE | CROP | 3259826 |
| SHADE, KENNETH EUGENE | EXECUTIVE VICE PRESIDENT | 3259826 |
| SHADE, KENNETH EUGENE | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | 3259826 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
