Lydia A. Rezie
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.
Lydia Anna Rezie, who also goes by Lydia Anna Kosc, Lydia Kosc, was a registered financial professional .
Lydia is a previously registered financial professional and started their career in finance in 2003. Lydia had worked at 4 firms and has passed the SIE, Series 87, Series 7 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
February 1, 2012 - June 28, 2013
DOMINICK & DICKERMAN LLC
December 13, 2011 - December 23, 2015
CANTOR FITZGERALD & CO.
February 10, 2010 - August 10, 2011
LONGBOW SECURITIES, LLC
January 16, 2008 - January 5, 2009
LONGBOW SECURITIES, LLC
April 11, 2006 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
October 30, 2003 - May 7, 2004
KEYBANC CAPITAL MARKETS 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
