Talmadge Roberts
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.
Talmadge Roberts was a registered financial professional .
Talmadge is a previously registered financial professional and started their career in finance in 1969. Talmadge had worked at 5 firms and has passed the Series 63, Series 5, PC 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
September 13, 1989 - November 14, 1990
DOMINICK & DICKERMAN LLC
January 31, 1980 - May 9, 1989
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 3, 1969 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., 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 5
Date: 10/20/1981
Interest Rate Options ExaminationPC
Date: 7/18/1977
AMEX Put and Call ExamSeries 1
Date: 4/19/1967
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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