Barbara A. Turner
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 Ann Turner, who also goes by Barbara Ann Dace, Barbara Ann Daceadams, Barbara Ann Dudley, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1988. Barbara had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2001 - November 11, 2022
AUGUSTAR DISTRIBUTORS, INC.
May 19, 1997 - November 11, 2022
THE O.N. EQUITY SALES COMPANY
August 13, 1996 - April 29, 1997
ENERIC FINANCIAL SERVICES, INC.
April 25, 1991 - July 9, 1996
RDSC, LLC
September 20, 1988 - April 27, 1989
J. D. SEIBERT & COMPANY, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
Documents
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.
