Rita M. Dulya
Professional summary
Rita Marie Dulya was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rita is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Rita had worked at 5 firms, which includes KOVACK SECURITIES INC., PRO-INTEGRITY SECURITIES INC., SUNPOINT SECURITIES INC., FUNDMARK INVESTMENT COMPANY SERVICES INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2002 - October 9, 2017
KOVACK SECURITIES INC.
December 1, 1999 - November 18, 2002
PRO-INTEGRITY SECURITIES, INC.
December 9, 1996 - November 19, 1999
SUNPOINT SECURITIES, INC.
August 17, 1990 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
May 23, 1990 - December 4, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
