Barbara L. Pruitt
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 Lawrence Pruitt, who also goes by Barbara E Lawrence, Barbara Edwards Lawrence, Barbara Lawrence Pruit, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1988. Barbara had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
January 1, 2009 - January 30, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 8, 2008 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
March 8, 2006 - July 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - July 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 1993 - March 8, 2006
ADVEST, INC.
June 21, 1988 - March 8, 2006
ADVEST, 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
Current Firm
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
