Barbara A. Novak
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 Novak was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1992 - August 3, 2012
ACGM, INC.
January 11, 1990 - April 28, 1992
GRUNTAL & CO., L.L.C.
September 29, 1986 - January 11, 1990
MCKINLEY ALLSOPP, INC.
April 1, 1985 - July 25, 1986
J.P. MORGAN SECURITIES LLC
February 25, 1982 - April 8, 1985
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ACGM, INC.
CRD#: 29705 / SEC#: , 8-44376
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.
