Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Donald? Claim Your ProfileDonald Raymond Monroe is a financial advisor with over 30 years of experience in the industry. Donald Monroe is currently registered with UBS Financial Services Inc. in North Carolina and Texas. Donald Monroe has previously worked for Wachovia Securities, LLC, Wachovia Securities, Inc., PaineWebber Incorporated, and Shearson Lehman Hutton Inc. Donald Monroe is a Series 3, 7, and 63 licensed professional and holds the Series 65 and SIE licenses. Donald Monroe specializes in providing financial advice to individuals, businesses, pension and profit-sharing plans, insurance companies, charitable organizations, high-net-worth individuals, and other investment advisors.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NC
09/05/2012 - Present
UBS Financial Services Inc. (RALEIGH NC)
NC
06/15/2002 - 02/02/2009
WACHOVIA SECURITIES, LLC (RALEIGH NC)
NC
12/04/1997 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NJ
06/12/1989 - 12/04/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/14/1988 - 07/03/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
03/22/1984 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/09/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1988
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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