Dolores A. Eliot
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.
Dolores Ann Eliot, who also goes by Dolores Ann Darcy, was a registered financial professional .
Dolores is a previously registered financial professional and started their career in finance in 1994. Dolores had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2023 - November 22, 2024
HEDGEMARK SECURITIES LLC
May 30, 2003 - July 22, 2010
DEAM INVESTOR SERVICES, INC.
January 17, 2002 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
July 18, 1994 - May 24, 2000
SANFORD C. BERNSTEIN & CO., 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 7TO
Date: 12/30/2022
General Securities Representative ExaminationSeries 8
Date: 9/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HEDGEMARK SECURITIES LLC
CRD#: 164503 / SEC#: , 8-69106
Contact information
FINRA licenses (49 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.
