Donald L. Ries
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 Lee Ries was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1976. Donald had worked at 13 firms and has passed the Series 63, PC, Series 5, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2012 - July 9, 2013
EVERTRADE DIRECT BROKERAGE, INC.
January 18, 2008 - June 30, 2011
EVERTRADE DIRECT BROKERAGE, INC.
April 28, 2006 - August 15, 2007
QUESTAR CAPITAL CORPORATION
May 1, 2001 - March 31, 2006
WFG INVESTMENTS, INC.
October 12, 2000 - May 2, 2001
FIRST ALLIED SECURITIES, INC.
September 30, 1999 - October 25, 2000
D.E. FREY & COMPANY, INC.
June 21, 1997 - August 17, 1999
MERCANTILE INVESTMENT SERVICES, INC.
July 12, 1995 - June 21, 1997
MARK TWAIN BROKERAGE SERVICES, INC.
May 16, 1989 - June 7, 1994
MARK TWAIN BROKERAGE SERVICES, INC.
July 14, 1982 - May 11, 1989
NEWHARD, COOK & CO. INCORPORATED
October 2, 1981 - October 6, 1982
MORGAN STANLEY DW INC.
May 11, 1979 - July 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1979 - May 6, 1979
LEHMAN BROTHERS INC.
March 31, 1978 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
May 20, 1976 - May 11, 1978
E. F. HUTTON & COMPANY 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
PC
Date: 7/6/1983
AMEX Put and Call ExamSeries 5
Date: 11/16/1981
Interest Rate Options ExaminationCurrent Firm
EVERTRADE DIRECT BROKERAGE, INC.
CRD#: 47388 / SEC#: , 8-51781
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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