Barbara G. Daugherty
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.
Barbara Gail Daugherty, who also goes by Barbara Ledbetter Tompkins, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1987. Barbara had worked at 1 firm and has passed the Series 63, SIE, Series 6, Series 28 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2004 - September 11, 2017
TAYLOR SECURITIES, INC.
June 4, 1987 - September 11, 2017
TAYLOR SECURITIES, 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 28
Date: 4/1/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TAYLOR SECURITIES, INC.
CRD#: 17575 / SEC#: 801-44465, 8-36712
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 342 |
| AUM (Assets Under Management) | $ 283,848,153 |
Red Flags
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