Donald R. South
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.
Donald Robert South was a registered financial advisor .
Donald is a previously registered financial advisor and started their career in finance in 1979. Donald had worked at 5 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2003 - May 10, 2006
1ST GLOBAL CAPITAL CORP.
February 22, 2000 - October 4, 2002
PIPER SANDLER & CO.
February 11, 2000 - October 4, 2002
PIPER SANDLER & CO.
March 2, 1998 - February 16, 2000
RBC CAPITAL MARKETS, LLC
February 8, 1984 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 24, 1979 - March 2, 1984
MORGAN STANLEY DW 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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 9/26/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
1ST GLOBAL CAPITAL CORP.
CRD#: 30349 / SEC#: , 8-44870
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
