Barbara D. Kanter
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 D Kanter, who also goes by Barbara Jean Dowling, Barbara Jean Kanter, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1996. Barbara had worked at 3 firms and has passed the Series 63, Series 65, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - February 7, 2023
THAMES FINANCIAL MANAGEMENT
April 15, 2002 - June 10, 2002
MML INVESTORS SERVICES, LLC
February 21, 2001 - December 31, 2015
THAMES FINANCIAL MANAGEMENT
November 27, 1996 - February 13, 1998
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
THAMES FINANCIAL MANAGEMENT
CRD#: 126295 / SEC#: 801-112929
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
THAMES FINANCIAL MANAGEMENT
CRD#: 126295 / SEC#: 801-112929
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 275,379,693 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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