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Donna Lynette King
Donna King Rice, Donna Rice
CRD#: 6895358
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 5425 Page Road
Suite 220
Durham, NC 27703
Suite 220
Durham, NC 27703
0
Disclosures
6
Years of Experience
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State Registrations
B
North Carolina 11/6/2020
B
Virginia 11/6/2020
IA
North Carolina 12/22/2020
SRO Registrations
B
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IA
Registered with this firm since 12/22/2020
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Registered with this firm since 11/6/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/17/2020 - 10/30/2020 | Burlington, NC | |
B | 09/21/2020 - 10/30/2020 | Burlington, NC | |
IA | 03/31/2020 - 06/10/2020 | WINSTON SALEM, NC | |
B | 03/31/2020 - 06/10/2020 | WINSTON SALEM, NC | |
B | 01/25/2019 - 04/06/2020 | Greensboro, NC | |
IA | 07/05/2018 - 09/18/2018 | SUMMERFIELD, NC | |
B | 05/04/2018 - 09/18/2018 | SUMMERFIELD, NC |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.