Donna J. Chism
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 Jean Chism, who also goes by D Keesling, Donna Jean Keesling, D Schepcaro, Donna Jean Schepcaro, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1979. Donna had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 5 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
February 8, 2017 - March 2, 2020
T.S. PHILLIPS INVESTMENTS, INC.
March 9, 2006 - February 6, 2017
WFG ADVISORS, LP
March 1, 2006 - February 6, 2017
WFG INVESTMENTS, INC.
February 13, 2001 - March 17, 2006
UBS FINANCIAL SERVICES INC.
November 24, 2000 - March 17, 2006
UBS FINANCIAL SERVICES INC.
March 2, 1998 - November 27, 2000
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 11, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 1, 1989 - January 12, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1989 - September 23, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 2, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 25, 1986 - December 31, 1987
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
July 16, 1979 - February 8, 1985
LEHMAN BROTHERS INC.
May 1, 1979 - July 16, 1979
LOEB PARTNERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
T.S. PHILLIPS INVESTMENTS, INC.
CRD#: 124348 / SEC#: , 8-65661
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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