Kathryn M. Dominick
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.
Kathryn Marie Dominick, who also goes by Kathy Marie Dominick, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1985. Kathryn had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 27, Series 53 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
July 30, 2014 - November 5, 2014
NTB FINANCIAL CORPORATION
May 13, 2013 - June 9, 2014
BRUCE A. LEFAVI SECURITIES, INC.
September 14, 2009 - March 27, 2012
J.P. TURNER & COMPANY, L.L.C.
October 1, 2007 - March 15, 2016
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
September 15, 2005 - February 14, 2007
WELTON STREET INVESTMENTS LLC
June 14, 2000 - February 9, 2006
TCADVISORS NETWORK INC.
August 26, 1999 - June 30, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
September 9, 1996 - April 30, 1999
D.E. FREY & COMPANY, INC.
June 8, 1988 - August 29, 1988
ALLIED CAPITAL GROUP, INC.
November 13, 1987 - June 14, 1988
FITZGERALD, TALMAN, INC.
October 30, 1987 - November 16, 1987
BERKELEY SECURITIES CORPORATION
September 11, 1987 - October 28, 1987
BRADSTREET CAPITAL, INC.
January 21, 1987 - August 27, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
July 29, 1986 - February 20, 1987
CROMWELL, KNIGHT & CO., INC.
March 19, 1986 - June 12, 1987
ROTHSCHILD EQUITY MANAGEMENT GROUP, INC.
September 24, 1985 - April 22, 1986
BROOKS WEINGER ROBBINS & LEEDS 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 55
Date: 10/23/2002
Limited Representative-Equity Trader ExamCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
