Donald E. Manuel
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 Edwin Manuel was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1976. Donald had worked at 5 firms and has passed the Series 63, Series 7, Series 1 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
September 18, 1989 - February 23, 2000
FINANCIAL WEST GROUP
May 22, 1989 - September 1, 1989
COOPER-DAHER SECURITIES, INC.
August 3, 1979 - January 28, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 30, 1976 - August 30, 1979
PFLUEGER & BAERWALD INC.
March 1, 1976 - December 1, 1976
SCHOLARSHIP PROGRAMS, 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 1
Date: 2/16/1976
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
