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Donald William Sterling

Smith Capital Markets, LLC

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About Donald William Sterling

Donald William Sterling is a financial professional with over 40 years of experience in the securities industry. Donald has held various positions at several firms, including Generational Capital Markets Inc., Crescent Securities Group, Inc., Institutional Securities Corp., and ALTACCESS SECURITIES COMPANY, L.P., before joining Smith Capital Markets, LLC. Donald's experience includes managing client accounts, providing investment advice, and offering financial planning services. Donald is registered with FINRA and holds several securities licenses, including Series 4, 24, 27, 53, 63, 99TO, and SIE.

Firm Information

Donald Sterling is currently registered with Smith Capital Markets, LLC. Smith Capital Markets, LLC is a Limited Liability Company formed on November 5, 2018. The firm is registered in Colorado, Florida, North Carolina, and Texas and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Donald Sterling’s Registration & Firm History

TX

07/17/2018 - Present

Smith Capital Markets, LLC (DALLAS TX)

TX

08/26/2003 - 11/30/2023

ALTACCESS SECURITIES COMPANY, L.P. (Dallas TX)

TX

04/09/1998 - 11/07/2023

OMEGA SECURITIES, INC. (FORT WORTH TX)

TX

03/02/2007 - 06/23/2020

ALLIANCE FINANCIAL GROUP, INC. (DALLAS TX)

TX

04/22/2003 - 03/15/2019

GREENHILL COGENT, LP (DALLAS TX)

TX

11/08/2012 - 12/17/2018

RGL ADVISORS, LLC (IRVING TX)

TX

03/09/2016 - 07/02/2018

VCA SECURITIES, LP (DALLAS TX)

TX

05/16/2011 - 09/26/2017

WESTLAKE SECURITIES (AUSTIN TX)

TX

07/02/2015 - 02/08/2016

NETHERLAND SECURITIES, INC. (DALLAS TX)

TX

05/12/1993 - 04/10/2015

ASSOCIATED BOND BROKERS, INC. (DALLAS TX)

TX

01/01/2012 - 04/06/2015

VISTA SECURITIES, INC. (DALLAS TX)

TX

08/14/2002 - 05/29/2012

BLUFFVIEW CAPITAL, LP (DALLAS TX)

TX

01/14/2008 - 05/02/2012

BALDWIN ANTHONY SECURITIES, INC. (DALLAS TX)

TX

03/07/2008 - 10/25/2010

PINNACLE PARTNERS FINANCIAL CORPORATION (SAN ANTONIO TX)

TX

03/01/2000 - 06/29/2009

STONEGATE SECURITIES, INC. (DALLAS TX)

TX

05/02/1995 - 04/21/2008

WFG INVESTMENTS, INC. (DALLAS TX)

TX

06/22/1989 - 12/13/2007

SAN JACINTO SECURITIES, INC. (DALLAS TX)

TX

06/10/2003 - 11/19/2007

FLAGLER DRIVE FINANCIAL, L.P. (DALLAS TX)

TX

06/05/2002 - 10/30/2006

FINANCIAL COUNSELING CORPORATION (HOUSTON TX)

TX

07/24/2000 - 12/07/2005

FETTERMAN INVESTMENTS, INC. (DALLAS TX)

NJ

06/28/2005 - 10/04/2005

DIRECT TRADING INSTITUTIONAL, L.P. (JERSEY CITY NJ)

TX

08/15/2001 - 07/08/2005

DIRECT TRADING INSTITUTIONAL, INC. (IRVING TX)

CT

10/27/2003 - 01/05/2004

RUMFOLO AND ASSOCIATES SECURITIES, LP (NORWALK CT)

TX

10/10/2001 - 01/02/2002

NBC FINANCIAL, INC. (SAN ANTONIO TX)

TX

03/14/2001 - 12/31/2001

CENTERPOINT SECURITIES INC. (DALLAS TX)

TX

10/18/1993 - 08/23/2001

KAREN HOWE-MISKO & COMPANY INCORPORATED (PLANO TX)

TX

09/11/1995 - 04/30/2001

TARA CAPITAL PARTNERS, INC. (DALLAS TX)

TX

06/03/1991 - 10/10/2000

LOBO SECURITIES, INC. (DALLAS TX)

TX

04/21/1998 - 03/29/2000

INTERNATIONAL EXCHANGE BROKERS, LLC. (DALLAS TX)

TX

06/02/1999 - 12/14/1999

CULLUM & BURKS SECURITIES, INC. (DALLAS TX)

NA

08/10/1993 - 06/02/1999

PINEWOOD SECURITIES, CORP.

TX

06/26/1995 - 04/14/1999

COMVEST PARTNERS, INC. (DALLAS TX)

TX

10/24/1995 - 07/24/1998

J&J SECURITIES, INC. (SAN ANTONIO TX)

TX

02/14/1994 - 03/17/1998

CULMEN GROUP, L.P. (FORTH WORTH TX)

TX

07/23/1997 - 09/26/1997

RICHMARK CAPITAL CORPORATION (IRVING TX)

TX

04/06/1988 - 09/17/1997

WATERFORD CAPITAL, INC. (ADDISON TX)

TX

02/14/1997 - 04/23/1997

FOUNDERS EQUITY SECURITIES INC. (DALLAS TX)

NA

07/05/1994 - 06/26/1996

AXIS TRADING CORPORATION

TX

02/27/1989 - 07/12/1993

AUGUSTA SECURITIES CORP. (HOUSTON TX)

NA

09/08/1986 - 06/28/1989

M.S. ETHEREDGE & CO., INC.

NA

10/27/1983 - 01/06/1988

CAPITAL INSTITUTIONAL SERVICES, INC.

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Licenses & Designations

BC

Issued 11/01/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/03/1989

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/21/1987

Series 4 - Registered Options Principal Examination

BC

Issued 05/17/1986

Series 27 - Financial and Operations Principal Examination

BC

Issued 06/19/1984

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Donald William Sterling.
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