Ladd W. Tanner
Professional summary
Ladd W Tanner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ladd is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Ladd had worked at 6 firms, which includes TRUSTMONT FINANCIAL GROUP INC., GUNNALLEN FINANCIAL INC, PARKLAND SECURITIES LLC, WALNUT STREET SECURITIES INC., 1717 CAPITAL MANAGEMENT COMPANY, OSAIC WEALTH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - December 22, 2015
TRUSTMONT FINANCIAL GROUP, INC.
December 21, 2005 - January 4, 2008
GUNNALLEN FINANCIAL, INC
February 9, 2002 - December 21, 2005
PARKLAND SECURITIES, LLC
January 6, 1998 - February 9, 2002
WALNUT STREET SECURITIES, INC.
September 5, 1991 - December 31, 1997
1717 CAPITAL MANAGEMENT COMPANY
August 2, 1991 - January 7, 1998
OSAIC WEALTH, 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
TRUSTMONT FINANCIAL GROUP, INC.
CRD#: 18312 / SEC#: , 8-36439
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOCHINEZ, LACEY M | OWNER | 5809867 |
| DOCHINEZ, PETER DANIEL | OWNER | 6314091 |
| ABBOTT DECAROLIS, LAURA JEAN | OWNER/REGISTERED REPRESENTATIVE | 1523919 |
| DOCHINEZ, CLAUDIA ANN | OWNER | |
| DOCHINEZ, PETER DANIEL | OWNER | 1062112 |
| GIONTA, PAUL V | OWNER | |
| HEBERT, GEORGE PHILLIP | OWNER | 2309032 |
| HLADEK, ANTHONY CHARLES | PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER | 2700432 |
| PETRUCCI, MARY LOUISE | OWNER/REGISTERED REPRESENTATIVE | 2980671 |
| AULT, JAMES DANIEL | OWNER | 1439447 |
| BARZAK, DONALD JOHN | OWNER | 1856590 |
| HIXENBAUGH, MARY LYNNE | CHIEF COMPLIANCE OFFICER | 5623080 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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