Dorothy S. Lakner
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.
Dorothy Senghas Lakner was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1985. Dorothy had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - May 27, 2016
TOPEKA CAPITAL MARKETS INC.
April 7, 2009 - December 14, 2012
CARIS & COMPANY, INC.
April 17, 1991 - December 31, 2007
CIBC WORLD MARKETS CORP.
February 11, 1988 - April 8, 1991
DEUTSCHE BANK CAPITAL CORPORATION
July 14, 1987 - May 6, 1988
E. F. HUTTON & COMPANY INC
January 23, 1985 - January 30, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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