Deborah A. Cotton
Professional summary
Deborah Ann Cotton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Deborah is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Deborah had worked at 1 firm, which includes HANOVER INVESTMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1988 - January 28, 2009
HANOVER INVESTMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HANOVER INVESTMENT SECURITIES, INC.
CRD#: 10983 / SEC#: , 8-29011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLMEYER, BERNARD JOHN JR | CHAIRMAN, JOINT OWNERSHIP WITH PCW/SEC/TREAS/CFO | 713211 |
| WELLMEYER, BERNARD JOHN JR | CHIEF COMPLIANCE OFFICER | 713211 |
| WELLMEYER, PHYLLIS CANTRELL | JOINT WITH BJW/STOCK HOLDER | |
| COTTON, DEBORAH ANN | PRESIDENT | 1614217 |
| STUCKENSCHNEIDER, KENNETH LEO | STOCK HOLDER/JOINT OWNER WITH RMS | 438988 |
| STUCKENSCHNEIDER, ROSE M | STOCK HOLDER/JOINT OWNER WITH KLS |
Disclosures
| Regulatory Event | 2 |
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