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Donald Charles Atherton

Donald Charles Atherton
Firm:
LPL Financial LLC
DBA:

Bashaw & Atherton
Type: Dual Registration
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Description

Bashaw & Atherton, an affiliate firm of James E. Bashaw & Company, specializes in the strategic use of employee benefits, securities and insurance products by private businesses. Bashaw & Atherton helps employers reward and protect employees they depend on, define and reach specific financial objectives of shareholders, ...(see more)

BrightScope Advisor Metrics

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Answers and Guides

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Level 3 Level 3 Contributor 1 Answer and 0 Financial Guides

Top Answers

What are reasonable fees for administering a 403b account, assets size is less than $5 million.

Answered Jan 14, 2013 near Houston, TX
5 votes
You should conduct a vendor RFP and allow the market place to determine if the fee is reasonable.

Top Guides

Donald Charles Atherton has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Advisor Information

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Advisor Client Types

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ownership pie chart
Corporations or Other Businesses 50%
Pension and Profit Sharing Plans 40%
Individuals 10%

*The Client Types data displayed has been entered by the advisor and has not been verified.

Experience and Employment History

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Employer Years Dates
Woodlands Securities 11 years, 11 months Jun 2001 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/09/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

2 Financial Disclosures
As of Date
09/09/2011
09/09/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 12/07/1999
Uniform Securities Agent State Law Examination Series 63 11/28/1994
General Securities Representative Examination Series 7 03/15/1994

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions