Barbara J. Otto
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 Jane Otto, who also goes by Barbara J Craig, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1973. Barbara had worked at 9 firms and has passed the Series 63, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2004 - September 10, 2014
SECURITIES RESEARCH, INC. OF FLORIDA
August 25, 1994 - May 26, 2004
WINTER PARK SECURITIES, INC.
February 27, 1991 - September 14, 1994
SECURITIES RESEARCH, INC. OF FLORIDA
October 3, 1988 - February 8, 1991
DOMINICK & DICKERMAN LLC
January 31, 1985 - December 9, 2011
FINANCIAL PLANNING & MANAGEMENT SERVICES, INC.
February 27, 1984 - October 3, 1988
DOMIK CORP.
August 27, 1982 - February 7, 1984
E. F. HUTTON & COMPANY INC
February 10, 1982 - August 2, 1982
UBS FINANCIAL SERVICES INC.
October 3, 1977 - February 2, 1982
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1973 - December 9, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 000
Date: 5/5/1973
General Securities Principal ExaminationSeries 1
Date: 5/5/1973
Registered Representative ExaminationCurrent Firm
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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