Joseph K. Aylward
Professional summary
Joseph Kesl Aylward was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Joseph had worked at 3 firms, which includes DOMINICK & DICKERMAN LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2008 - January 2, 2009
DOMINICK & DICKERMAN LLC
August 19, 2005 - August 12, 2008
UBS FINANCIAL SERVICES INC.
August 19, 2005 - August 12, 2008
UBS FINANCIAL SERVICES INC.
December 18, 2002 - August 23, 2005
MORGAN STANLEY DW INC.
May 26, 1983 - August 23, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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