Donald L. Hook
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 Hook, who also goes by Don Hook, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1991. Donald had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2009 - January 22, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
June 7, 2005 - March 5, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
July 25, 2002 - March 24, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
November 9, 1995 - July 20, 2000
MISSIONSQUARE INVESTMENT SERVICES
May 10, 1995 - October 13, 1995
JOHN HANCOCK DISTRIBUTORS LLC
September 18, 1991 - September 7, 1993
ROBERT W. BAIRD & CO. INCORPORATED
September 18, 1991 - September 7, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 12, 1991 - September 13, 1991
PAN-AMERICAN FINANCIAL ADVISERS
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
Current Firm
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
