Dawn L. Barringer
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.
Dawn Louise Barringer, who also goes by Dawn L Neese, Dawn Louise Neese, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1984. Dawn had worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1998 - May 18, 2022
INDIANA SECURITIES, LLC
January 8, 1998 - December 31, 1998
FIRST ALLIED SECURITIES, INC.
April 18, 1984 - December 31, 1997
TRAUB AND COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
INDIANA SECURITIES, LLC
CRD#: 45115 / SEC#: , 8-50984
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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