Dante J. Donofrio
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.
Dante J Donofrio, who also goes by Dante Joseph Donofrio, was a registered financial professional .
Dante is a previously registered financial professional and started their career in finance in 1983. Dante had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
December 2, 2016 - April 11, 2018
CHARLES SCHWAB & CO., INC.
December 1, 2016 - April 11, 2018
CHARLES SCHWAB & CO., INC.
August 5, 2013 - November 9, 2016
PRUCO SECURITIES, LLC.
May 29, 2013 - November 9, 2016
PRUCO SECURITIES, LLC.
December 7, 2007 - May 15, 2013
MUTUAL OF AMERICA SECURITIES LLC
December 7, 2007 - May 15, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 14, 2007 - December 14, 2007
ARBOR COURT CAPITAL, LLC
March 19, 2007 - August 31, 2007
ALLSTATE FINANCIAL SERVICES, LLC
February 8, 2005 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
August 27, 2004 - January 25, 2005
MSI FINANCIAL SERVICES, INC.
April 1, 2003 - September 15, 2004
NEW ENGLAND SECURITIES
December 6, 2002 - January 25, 2005
METROPOLITAN LIFE INSURANCE COMPANY
December 6, 2002 - January 25, 2005
MSI FINANCIAL SERVICES, INC.
August 16, 1996 - March 7, 2003
NEW ENGLAND SECURITIES
September 16, 1994 - August 14, 1996
SIGNATOR FINANCIAL SERVICES, INC.
April 7, 1989 - July 19, 1994
SIGNATOR FINANCIAL SERVICES, INC.
January 14, 1986 - December 31, 1988
ILG SECURITIES CORPORATION
May 12, 1983 - January 8, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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: 9/17/1979
Registered Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
