Donna G. Carlton
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.
Donna Gail Carlton, who also goes by Donna G Carlton, Donna G Lynch, Donna Lynch, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1978. Donna had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2002 - December 20, 2010
PACIFIC WEST SECURITIES, INC.
November 16, 1998 - November 6, 2002
SENTRA SECURITIES CORPORATION
February 28, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
March 19, 1991 - February 9, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
July 21, 1989 - April 2, 1991
VSR FINANCIAL SERVICES, INC.
July 14, 1987 - July 29, 1989
INTERCAP FINANCIAL CORPORATION
March 8, 1979 - June 22, 1987
JOHN HANCOCK DISTRIBUTORS LLC
April 24, 1978 - March 26, 1979
LINCOLN FINANCIAL DISTRIBUTORS, 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: 4/13/1978
Registered Representative ExaminationCurrent Firm
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 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.
