Donovan Mark Gaudin

Donovan Mark Gaudin is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 2309 GRACY FARMS LANE, AUSTIN, TX, 78758.

Donovan Mark Gaudin has worked at CHARLES SCHWAB & CO., INC. since November 14, 2012

Disclosure History

Donovan Mark Gaudin has 2 Disclosure Event(s).

Date: May 22, 2006
Category: Criminal
Disposition: Reduced
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Convicted

Date: August 09, 1995
Category: Criminal
Charges: THEFT
Disposition: Dismissed

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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