Donald R. Marshall
Professional summary
Donald Richard Marshall was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Donald had worked at 7 firms, which includes FOX & COMPANY INVESTMENTS INC., FFEC WEALTH PARTNERS LLC, RBC CAPITAL MARKETS LLC, PIPER SANDLER & CO., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2004 - December 19, 2007
FOX & COMPANY INVESTMENTS INC.
October 25, 2002 - September 30, 2004
FFEC WEALTH PARTNERS LLC
June 14, 1999 - October 9, 2002
RBC CAPITAL MARKETS, LLC
December 12, 1994 - May 28, 1999
PIPER SANDLER & CO.
January 16, 1984 - December 19, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - January 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Exams
PC
Date: 9/1/1977
AMEX Put and Call ExamCurrent Firm
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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