Barbara L. Brandenburg
Professional summary
Barbara Lynch Brandenburg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barbara is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Barbara had worked at 6 firms, which includes MAY FINANCIAL CORPORATION, WELLS FARGO CLEARING SERVICES LLC, LOVETT UNDERWOOD NEUHAUS & WEBB INC., BOETTCHER & COMPANY INC., THOMSON MCKINNON SECURITIES INC., SCHNEIDER BERNET & HICKMAN INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 1991 - September 7, 2001
MAY FINANCIAL CORPORATION
September 4, 1990 - April 30, 1991
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
January 22, 1988 - September 1, 1988
BOETTCHER & COMPANY, INC.
February 12, 1985 - February 2, 1988
THOMSON MCKINNON SECURITIES INC.
March 5, 1968 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/15/1985
AMEX Put and Call ExamSeries 5
Date: 2/3/1982
Interest Rate Options ExaminationSeries 1
Date: 6/22/1960
Registered Representative ExaminationSeries 40
Date: 2/20/1968
Registered Principal ExaminationCurrent Firm
MAY FINANCIAL CORPORATION
CRD#: 3927 / SEC#: , 8-14093
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PARENT | |
| BENNERS, FREDERICK HAGAMAN JR | CEO & PRESIDENT | 2213846 |
| HODGES, STACY MALINDA | VICE PRESIDENT/TREASURER/ CFO | 2544755 |
| KNOWLES, PHYLLIS JEAN | DIRECTOR OF COMPLIANCE | 1275616 |
| SYLVESTER, GORDON ANTHONY | SROP/CROP | 2638444 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VICE PRESIDENT/ GENERAL COUNSEL | 809998 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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