Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Donald? Claim Your ProfileDonald James Stroube is a financial advisor who has been in the industry since August 13, 2012. Donald James Stroube currently works at Principal Securities, Inc. where they have been employed since August 8, 2022. Previously, Donald James Stroube worked at NYLIFE DISTRIBUTORS LLC, NYLIFE SECURITIES INC., FIS SECURITIES, INC., UVEST INVESTMENT SERVICES and SMITH BARNEY INC. Donald James Stroube holds the following licenses: Series 65, Series 63, Series 6TO, SIE and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
08/08/2022 - Present
Principal Securities, Inc. (Charlotte NC)
MA
06/20/2005 - 04/03/2008
NYLIFE DISTRIBUTORS LLC (WESTWOOD MA)
NY
03/31/2004 - 06/28/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
MA
01/09/2001 - 10/25/2002
FIS SECURITIES, INC. (BOSTON MA)
MA
03/21/1998 - 12/21/1998
FIS SECURITIES, INC. (BOSTON MA)
NC
06/26/1996 - 03/06/1998
UVEST INVESTMENT SERVICES (CHARLOTTE NC)
NY
10/04/1994 - 07/02/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/08/2022
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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