Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Donald? Claim Your ProfileDonald Kenneth Sroufe is a financial advisor with over 20 years of experience in the industry. Donald has been registered with Osaic Wealth, Inc. since 2018, specializing in providing financial planning and portfolio management services for individuals, businesses, and pension plans. Prior to joining Osaic Wealth, Inc. Donald worked with a number of other firms including Signator Investors, Inc., Transamerica Financial Advisors, Inc., and Dean Witter Reynolds Inc. Donald is a licensed investment advisor and holds the Series 7, Series 31, and Series 63 licenses. Donald is committed to providing clients with personalized financial advice that meets their individual needs and goals.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
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2
AZ
11/02/2018 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
AZ
05/13/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (SCOTTSDALE AZ)
AZ
07/10/2003 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (SCOTTSDALE AZ)
SC
01/24/2002 - 07/09/2003
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
IL
03/12/2001 - 11/15/2001
AFD, INC. (NORTHBROOK IL)
NY
09/12/1997 - 02/01/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 09/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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