Donald H. Davis
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.
Donald Haun Davis, who also goes by D H Davis, Don Davis, Donald Davis, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 23 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 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
October 20, 2014 - November 10, 2015
MYSTOCKFUND SECURITIES, INC.
February 3, 2012 - November 14, 2012
OSAIC WEALTH, INC.
January 6, 2012 - January 24, 2012
OSAIC WEALTH, INC.
October 12, 2011 - November 16, 2011
THE LEADERS GROUP, INC.
January 4, 2011 - October 17, 2011
NEW ENGLAND SECURITIES
July 12, 2010 - July 30, 2010
PRINCIPAL SECURITIES, INC.
July 20, 2009 - November 30, 2009
MUTUAL SECURITIES, INC.
July 29, 2008 - July 8, 2009
OSAIC SERVICES, INC.
December 3, 2007 - July 11, 2008
OSAIC WEALTH, INC.
January 24, 2007 - October 29, 2007
APEX CLEARING CORPORATION
September 21, 2005 - January 30, 2007
TLG ADVISORS, INC.
April 6, 2005 - December 31, 2006
THE LEADERS GROUP, INC.
January 17, 2003 - April 5, 2005
AXOS CLEARING LLC
April 20, 2001 - October 25, 2002
MOUNTAIN RIVER SECURITIES, INC.
December 9, 1999 - November 27, 2000
KASHNER DAVIDSON SECURITIES CORPORATION
August 13, 1998 - November 16, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
September 30, 1994 - July 24, 1998
FISERV CORRESPONDENT SERVICES, INC.
March 23, 1993 - October 10, 1994
HANIFEN, IMHOFF INC.
November 21, 1990 - March 30, 1993
CULLUM & SANDOW SECURITIES, INC.
June 1, 1990 - October 30, 1990
JJC SECURITIES CO., INC.
September 30, 1989 - October 5, 1989
ADVEST, INC.
September 28, 1989 - June 4, 1990
BOETTCHER & COMPANY, INC.
September 27, 1988 - November 15, 1991
NEWHARD, COOK & CO. INCORPORATED
January 26, 1988 - September 30, 1988
UBS FINANCIAL SERVICES INC.
January 12, 1984 - February 8, 1988
E. F. HUTTON & COMPANY INC
May 18, 1981 - January 26, 1984
WAMU INVESTMENTS, 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 8
Date: 11/17/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MYSTOCKFUND SECURITIES, INC.
CRD#: 103956 / SEC#: , 8-52430
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
