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DD

Donald Haun Davis

CRD# 731149·Registered 1981 - 2015

Previously Registered: Being a previously registered professional could mean that Donald 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.

Professional Summary

Donald Haun Davis, who also goes by D H Davis, Don Davis, Donald Davis, was a registered financial advisor. Donald was a previously registered financial professional and started their career in finance 1981 - 2015. Donald had worked at 23 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

D H Davis, Don Davis, Donald Davis

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

MYSTOCKFUND SECURITIES, INC.·CRD# 103956

BD

Juno Beach, FL

October 20, 2014 - November 10, 2015

OSAIC WEALTH, INC.·CRD# 23131

BD

Arvada, CO

February 3, 2012 - November 14, 2012

OSAIC WEALTH, INC.·CRD# 23131

BD

Arvada, CO

January 6, 2012 - January 24, 2012

THE LEADERS GROUP, INC.·CRD# 37157

BD

Summit, NJ

October 12, 2011 - November 16, 2011

NEW ENGLAND SECURITIES·CRD# 615

BD

Denver, CO

January 4, 2011 - October 17, 2011

PRINCIPAL SECURITIES, INC.·CRD# 1137

BD

Highlands Ranch, CO

July 12, 2010 - July 30, 2010

MUTUAL SECURITIES, INC.·CRD# 13092

BD

Higlands Ranch, CO

July 20, 2009 - November 30, 2009

OSAIC SERVICES, INC.·CRD# 133763

BD

Highlands Ranch, CO

July 29, 2008 - July 8, 2009

OSAIC WEALTH, INC.·CRD# 23131

BD

New York, NY

December 3, 2007 - July 11, 2008

APEX CLEARING CORPORATION·CRD# 13071

BD

Dallas, TX

January 24, 2007 - October 29, 2007

TLG ADVISORS, INC.·CRD# 111052

RIA

Littleton, CO

September 21, 2005 - January 30, 2007

THE LEADERS GROUP, INC.·CRD# 37157

BD

Littleton, CO

April 6, 2005 - December 31, 2006

AXOS CLEARING LLC·CRD# 117176

BD

Omaha, NE

January 17, 2003 - April 5, 2005

MOUNTAIN RIVER SECURITIES, INC.·CRD# 36937

BD

Denver, CO

April 20, 2001 - October 25, 2002

KASHNER DAVIDSON SECURITIES CORPORATION·CRD# 5319

BD

Sarasota, FL

December 9, 1999 - November 27, 2000

GLOBAL CAPITAL SECURITIES CORPORATION·CRD# 16184

BD

Englewood, CO

August 13, 1998 - November 16, 1999

FISERV CORRESPONDENT SERVICES, INC.·CRD# 29273

BD

Denver, CO

September 30, 1994 - July 24, 1998

HANIFEN, IMHOFF INC.·CRD# 2126

BD

Denver, CO

March 23, 1993 - October 10, 1994

CULLUM & SANDOW SECURITIES, INC.·CRD# 15836

BD

Dallas, TX

November 21, 1990 - March 30, 1993

JJC SECURITIES CO., INC.·CRD# 3144

BD

June 1, 1990 - October 30, 1990

ADVEST, INC.·CRD# 10

BD

Hartford, CT

September 30, 1989 - October 5, 1989

BOETTCHER & COMPANY, INC.·CRD# 101

BD

September 28, 1989 - June 4, 1990

NEWHARD, COOK & CO. INCORPORATED·CRD# 619

BD

St. Louis, MO

September 27, 1988 - November 15, 1991

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

January 26, 1988 - September 30, 1988

E. F. HUTTON & COMPANY INC·CRD# 235

BD

January 12, 1984 - February 8, 1988

WAMU INVESTMENTS, INC.·CRD# 599

BD

May 18, 1981 - January 26, 1984

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Current Firm

MS

MYSTOCKFUND SECURITIES, INC.

MYSTOCKFUND SECURITIES, INC.

CRD#: 103956 / SEC#: 8-52430

BD

Terminated by SEC on 11/29/2015

Contact Information

Established

Delaware since 01/14/2000

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

Name	Position	CRD#
BANKS.COM, INC	SOLE OWNER	—
ACKERMAN, KENNETH MICHAEL	PRESIDENT, CHIEF COMPLIANCE OFFICER AND DIRECTOR	847256
STEINIGER, JANET ELLEN	CFO	5857724

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2002About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1981About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1989About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Nov 1987

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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DD

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