Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Donna? Claim Your ProfileDonna Dockery is a financial advisor with Wells Fargo Securities, LLC. She has over 20 years of experience in the financial services industry. Donna holds the Series 6, 7, 9, 10, 52, 63, 65, 82, 99 and SIE licenses. Donna is registered to sell securities in North Carolina. Previously, Donna has worked with LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Vanguard Marketing Corporation and First Union Brokerage Services, Inc.
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.
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.
1
2
NC
07/02/2021 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
SC
05/18/2016 - 07/14/2021
LPL FINANCIAL LLC (FORT MILL SC)
NC
01/19/2016 - 05/16/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
12/06/2011 - 08/22/2015
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
07/08/2008 - 12/16/2011
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NC
07/28/1999 - 07/16/2008
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NC
05/25/1999 - 07/09/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 09/05/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/24/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2001
Series 7 - General Securities Representative Examination
BC
Issued 05/24/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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