Kevin D. Solik
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.
Kevin Drew Solik was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2002. Kevin had worked at 3 firms and has passed the Series 66, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2009 - February 14, 2014
DOMINICK & DICKERMAN LLC
December 15, 2009 - February 14, 2014
DOMINICK & DICKERMAN LLC
November 5, 2004 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2004 - January 6, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2003 - November 1, 2004
MORGAN STANLEY DW INC.
January 7, 2002 - November 1, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current 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.
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