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BK

Barbara S. Kohn

Some features on this profile are disabled
CRD#: 867832
BK

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 Shattuck Kohn, who also goes by Barbara Zaccheo Dubow, Barbara Shattuck Kohn Ms., Barbara Jane Shattuck, Barbara Zaccheo Shattuck, Barbara Jane Zaccheo, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1978. Barbara had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barbara Zaccheo Dubow | Barbara Shattuck Kohn Ms. | Barbara Jane Shattuck | Barbara Zaccheo Shattuck | Barbara Jane Zaccheo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 20, 2012 - January 25, 2019

H2C SECURITIES INC.

BD
CRD#: 7169
NEW YORK, NY
Past

June 1, 2007 - October 29, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY
Past

October 10, 2001 - June 14, 2007

SHATTUCK HAMMOND PARTNERS LLC

BD
CRD#: 113645
NEW YORK, NY
Past

May 21, 1998 - October 30, 2001

PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
NEW YORK, NY
Past

May 5, 1993 - May 21, 1998

SHATTUCK HAMMOND PARTNERS INC.

BD
CRD#: 32241
NEW YORK, NY
Past

January 17, 1984 - May 11, 1993

CAIN BROTHERS & COMPANY, LLC

BD
CRD#: 13649
NEW YORK, NY
Past

October 26, 1978 - December 13, 1982

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/17/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/19/1986
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/1983
General Securities Principal Examination

Current Firm

HS
H2C SECURITIES INC.
G EQUITY ENTERPRISES, INC. | PHILLIP GOLDSTICK INVESTMENTS GROUP LTD. | INTANGIBLE MARKETING, INC. | H2C SECURITIES INC. | G EQUITY INVESTMENT GROUP, LTD. | G EQUITY INVESTMENT GROUP LTD.

CRD#: 7169 / SEC#: , 8-19993

BD
Terminated by SEC on 05/31/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 05/15/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DONOVAN, KIMBERLYCHIEF COMPLIANCE OFFICER4586476

Disclosures

Regulatory Event2

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.

Company Information

H2C SECURITIES INC.

CRD#: 7169

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