Barbara A. Lederman
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 Ann Lederman, who also goes by Barbara Ann Glasgall, Barbara Glasgall, Barbara Ann Smith, Barbara Smith, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1979. Barbara had worked at 3 firms and has passed the Series 63, Series 55, 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
March 24, 1990 - December 31, 2011
A.J. PACE & CO., INC.
May 7, 1986 - January 14, 1989
SIMMS SECURITIES, INC.
May 24, 1979 - January 25, 1985
PRESCOTT, BALL & TURBEN, 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: 3/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
A.J. PACE & CO., INC.
CRD#: 24228 / SEC#: , 8-40956
Contact information
Documents
Disclosures
| Regulatory Event | 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.
