Dolores M. Bartizal
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 Mosher Bartizal, who also goes by Delores Mosher Bartizal, Delores Underwood, was a registered financial professional .
Dolores is a previously registered financial professional and started their career in finance in 1986. Dolores had worked at 5 firms and has passed the Series 63, Series 65 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2005 - October 31, 2013
WILBANKS SECURITIES, INC.
May 13, 2002 - June 13, 2005
AVANTAX INVESTMENT SERVICES, INC.
May 14, 1990 - February 20, 1992
SECURIAN FINANCIAL SERVICES, INC.
October 23, 1989 - June 12, 1990
NORTH AMERICAN MANAGEMENT, INC.
December 23, 1986 - October 11, 1989
WADDELL & REED
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
Current Firm
WILBANKS SECURITIES, INC.
CRD#: 40673 / SEC#: , 8-49134
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
