Dolores B. Ocksrider
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.
Dolores Bernece Ocksrider, who also goes by Bernece Cox, Dolores Mantonye, Dolores Bernece Ockstrider, was a registered financial professional .
Dolores is a previously registered financial professional and started their career in finance in 1983. Dolores had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - June 5, 2017
NATIONAL SECURITIES CORPORATION
October 11, 2010 - May 26, 2016
RIDGEWAY & CONGER, INC.
January 4, 2010 - October 1, 2010
MOMENTUM INDEPENDENT NETWORK INC.
January 23, 1987 - December 31, 2009
HILLTOP SECURITIES INC.
October 20, 1983 - January 23, 1987
QUINN & CO., 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
Series 8
Date: 3/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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