Donna L. Smith
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 L Smith, who also goes by Donna L Smith, Donna Lee Smith, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1979. Donna had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2021 - April 1, 2025
KESTRA ADVISORY SERVICES, LLC
September 3, 2013 - January 7, 2014
CETERA WEALTH SERVICES, LLC
September 3, 2013 - January 7, 2014
CETERA WEALTH SERVICES, LLC
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
February 3, 1998 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 3, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 27, 1988 - September 1, 2021
SMITH FINANCIAL CONCEPTS, LLC
May 21, 1979 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 21, 1979 - January 18, 1995
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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: 5/15/1979
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
