Barbara R. Stock
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 Ruth Stock, who also goes by Barbara Ruth Henderson, Barbara S Linch, Barbara Stock Linch, Barbara R Stock, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1970. Barbara had worked at 6 firms and has passed the Series 63 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 3, 1988 - February 8, 1991
DOMINICK & DICKERMAN LLC
October 3, 1984 - October 3, 1988
DOMIK CORP.
September 26, 1984 - October 4, 1984
FIRST PARK EQUITIES, INC.
February 24, 1978 - November 19, 1982
MORGAN STANLEY DW INC.
September 25, 1975 - February 24, 1978
REYNOLDS SECURITIES, INC.
February 20, 1970 - November 6, 1975
THOMSON MCKINNON SECURITIES INC.
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 1
Date: 4/12/1967
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
