Barbara N. Oshields
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barbara Newman Oshields, who also goes by Barbara Newman Dshields, Barbara Newman Leslie, Barbara Newman Newman, Barbara Newman Newmanm, was a registered financial advisor .
Barbara is a previously registered financial advisor and started their career in finance in 1982. Barbara had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2007 - August 30, 2007
RIDGEWAY & CONGER, INC.
June 24, 2005 - November 2, 2005
GUNNALLEN FINANCIAL, INC
November 18, 2003 - November 2, 2005
GUNNALLEN FINANCIAL, INC
January 4, 1999 - November 18, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 11, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 25, 1982 - March 31, 1995
SCOTT & STRINGFELLOW, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
