Gloria M. Llewellyn
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.
Gloria Mamo Llewellyn, who also goes by Gloria Elizabeth Llewellyn, Gloria Elizabeth Mamo, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 1969. Gloria had worked at 9 firms and has passed the Series 63, Series 5, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2004 - December 31, 2012
DOMINICK & DICKERMAN LLC
July 29, 1993 - October 26, 2004
MORGAN STANLEY DW INC.
July 29, 1993 - October 26, 2004
MORGAN STANLEY DW INC.
July 8, 1985 - August 2, 1993
UBS FINANCIAL SERVICES INC.
June 25, 1979 - November 19, 1983
LEHMAN BROTHERS INC.
August 4, 1978 - August 3, 1979
LOEB PARTNERS
December 14, 1976 - August 28, 1978
THOMSON MCKINNON SECURITIES INC.
May 17, 1974 - November 30, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 23, 1973 - July 22, 1985
MORGAN STANLEY DW INC.
December 1, 1971 - May 29, 1974
RAYMOND JAMES & ASSOCIATES, INC.
October 24, 1969 - November 29, 1971
FIRST EQUITY CORPORATION OF FLORIDA
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 8/27/1979
AMEX Put and Call ExamSeries 000
Date: 7/23/1973
General Securities Principal ExaminationSeries 1
Date: 2/4/1967
Registered Representative ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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