Deborah G. Baran
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.
Deborah Gough Baran was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1995. Deborah had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2006 - October 8, 2018
COMMONFUND SECURITIES, INC.
March 19, 2004 - June 2, 2005
PGIM INVESTMENTS LLC
December 11, 2003 - June 2, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 10, 2003 - December 16, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
September 17, 1999 - December 16, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 16, 1997 - October 15, 1998
PEOPLE'S SECURITIES, INC.
August 16, 1995 - March 31, 1997
IDS LIFE INSURANCE COMPANY
August 16, 1995 - March 31, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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
COMMONFUND SECURITIES, INC.
CRD#: 43541 / SEC#: , 8-50337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
Red Flags
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