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DS

Donald M. Singleton

Some features on this profile are disabled
CRD#: 827725
DS

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 Marvin Singleton was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1976. 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 17, 1993 - December 31, 2016

DON ALEXANDER INVESTMENTS, INC.

BD
CRD#: 15931
OAK BROOK, IL
Past

November 5, 1982 - July 16, 1992

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Past

February 22, 1982 - July 16, 1992

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

March 5, 1980 - May 7, 1982

LETTERMAN TRANSACTION SERVICES, INC.

BD
CRD#: 6477
Past

June 20, 1979 - March 21, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

September 26, 1978 - July 14, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

May 4, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572
Past

September 23, 1976 - May 25, 1977

CROWELL, WEEDON & CO.

BD
CRD#: 193

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 7/20/1995
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/18/1984
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/17/1984
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/1983
General Securities Principal Examination

Current Firm

DA
DON ALEXANDER INVESTMENTS, INC.
DON ALEXANDER INVESTMENTS, INC.

CRD#: 15931 / SEC#: , 8-32974

BD
Terminated by SEC on 02/14/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/07/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

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 Event1

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.

Company Information

DON ALEXANDER INVESTMENTS, INC.

CRD#: 15931

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