Donna M. Traina-sepe
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 Marie Traina-sepe, who also goes by Donna Marie Tavares, Donna Tavares, Donna Marie Traina, Donna Traina, Donna Marie Traina-sepe Mrs., Donna Marie Trainasepe, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1978. Donna had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - July 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 20, 2009 - February 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2005 - September 9, 2009
SANDERS MORRIS LLC
August 6, 2004 - July 12, 2005
SECURIAN FINANCIAL SERVICES, INC.
March 2, 2004 - May 5, 2004
AMERIPRISE ADVISOR SERVICES, INC.
September 6, 2002 - March 17, 2004
EQUITABLE ADVISORS, LLC
February 5, 2001 - July 23, 2002
AVANTAX INVESTMENT SERVICES, INC.
September 12, 2000 - May 7, 2001
EQUITABLE ADVISORS, LLC
March 24, 1995 - October 7, 1998
ALLIANCE ASSET GROUP,INC.
April 9, 1991 - October 19, 1994
FIRST UNION CAPITAL MARKETS CORP.
July 22, 1987 - January 29, 1990
RUSSO SECURITIES INC.
February 21, 1985 - September 9, 1985
VINCENT, THOMAS & ASSOCIATES, INC.
September 13, 1983 - March 4, 1985
SLS SECURITIES COMPANY
February 17, 1981 - March 28, 1983
BECKER PARIBAS INCORPORATED
March 24, 1980 - February 15, 1981
LAZARD FRERES & CO. LLC
March 8, 1979 - April 8, 1980
JANNEY MONTGOMERY SCOTT LLC
November 27, 1978 - March 5, 1979
SOURCE SECURITIES CORPORATION
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
