Barbara A. Dunlap
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 Anne Dunlap was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1974. Barbara had worked at 15 firms and has passed the Series 63, SIE, Series 55, PC, Series 7 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
June 29, 2009 - May 6, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
August 24, 1993 - June 29, 2009
DOMINARI SECURITIES LLC
May 21, 1992 - August 20, 1993
S.B.S. FINANCIAL GROUP, INC.
August 20, 1991 - May 12, 1992
SPERBER ADAMS & COMPANY, INC.
April 17, 1991 - September 3, 1991
MAROLDA, NADELL, REILLY & COMPANY
November 13, 1990 - March 27, 1991
GRUNTAL & CO., L.L.C.
March 16, 1990 - September 18, 1990
CLG INVESTMENT COMPANY, INC.
October 23, 1984 - March 6, 1990
JONESTRADING
September 22, 1983 - October 16, 1984
CIBC WOOD GUNDY SECURITIES CORP.
February 10, 1983 - August 17, 1983
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1982 - January 26, 1983
CANTOR FITZGERALD & CO.
September 12, 1979 - March 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1977 - August 13, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
May 12, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 23, 1974 - September 30, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 55
Date: 11/8/1999
Limited Representative-Equity Trader ExamPC
Date: 5/2/1980
AMEX Put and Call ExamSeries 1
Date: 7/25/1974
Registered Representative ExaminationCurrent Firm
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
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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