Donald B. Egan
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 Bryan Egan, who also goes by Don Egan, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1973. Donald had worked at 15 firms and has passed the Series 63, Series 7, Series 1, Series 8 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2003 - July 12, 2004
OXFORD FINANCIAL GROUP
December 7, 2000 - December 19, 2000
QUEST CAPITAL STRATEGIES, INC.
April 9, 1998 - December 14, 1998
QUEST CAPITAL STRATEGIES, INC.
June 10, 1993 - April 29, 1996
AMERICAN ALLIED SECURITIES INC.
February 5, 1985 - January 25, 1990
UNION EXCHANGE SECURITIES, INCORPORATED
December 10, 1982 - August 5, 1983
HAAS SECURITIES CORPORATION
December 8, 1982 - October 14, 1983
J. W. WELLER & CO., INC.
April 14, 1982 - October 5, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 13, 1980 - October 5, 1981
CITIGROUP GLOBAL MARKETS INC.
September 16, 1977 - June 1, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
March 23, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 12, 1975 - March 24, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
June 2, 1975 - August 5, 1975
HIBBARD & O'CONNOR SECURITIES, INC.
February 4, 1975 - June 17, 1975
REYNOLDS SECURITIES, INC.
August 14, 1974 - March 26, 1975
THOMSON MCKINNON SECURITIES INC.
February 12, 1974 - July 26, 1974
HIBBARD & O'CONNOR SECURITIES, INC.
October 6, 1973 - July 26, 1974
SELLERS INVESTMENT COMPANY, 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 1
Date: 10/6/1973
Registered Representative ExaminationSeries 8
Date: 5/11/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OXFORD FINANCIAL GROUP
CRD#: 40700 / SEC#: , 8-49153
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALLERIA TRADING COMPANY | PARENT COMPANY | |
| CLOUD, THOMAS JOHN JR | CEO | 1919679 |
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.
