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Donald Marvin Singleton

CRD# 827725·Registered 1976 - 2016
Previously Registered: Being a previously registered professional could mean that Donald 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.

Professional Summary

Donald Marvin Singleton was a registered financial advisor. Donald was a previously registered financial professional and started their career in finance 1976 - 2016. Donald had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 4, Series 12 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

50 years in the financial services industry

Current & Past Employments

DON ALEXANDER INVESTMENTS, INC.·CRD# 15931
BD
Oak Brook, IL
April 17, 1993 - December 31, 2016
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
November 5, 1982 - July 16, 1992
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
February 22, 1982 - July 16, 1992
LETTERMAN TRANSACTION SERVICES, INC.·CRD# 6477
BD
March 5, 1980 - May 7, 1982
LEHMAN BROTHERS INC.·CRD# 7506
BD
June 20, 1979 - March 21, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
September 26, 1978 - July 14, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
May 4, 1977 - September 26, 1978
CROWELL, WEEDON & CO.·CRD# 193
BD
September 23, 1976 - May 25, 1977

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Current Firm

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DON ALEXANDER INVESTMENTS, INC.

DON ALEXANDER INVESTMENTS, INC.

CRD#: 15931 / SEC#: 8-32974
BD
Terminated by SEC on 02/14/2017

Contact Information

Established

Delaware since 08/07/1984

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALEXANDER, DONALD ZPRESIDENT, SECRETARY, DIRECTOR, CHIEF EXECUTIVE OFFICER, ROSFP840236
ALEXANDER, JOAN MARYSHAREHOLDER, CLASS B SHARES1475339
SINGLETON, DONALD MARVINCHIEF COMPLIANCE OFFICER, FINOP, ROSFP827725

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1985About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1976About the Series 7 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Jul 1995About the Series 28 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1984About the Series 4 exam

Series 12 — NYSE Branch Manager Examination

Passed Mar 1984

Series 24 — General Securities Principal Examination

Passed Oct 1983About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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