Jude R. Barcenas
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.
Jude Ramon Legaspi Barcenas, who also goes by Jude R L Barcenas, Jude Barcenas, was a registered financial professional .
Jude is a previously registered financial professional and started their career in finance in 1983. Jude had worked at 9 firms and has passed the Series 63, Series 7, Series 6 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
July 31, 2012 - November 7, 2013
SIGNAL SECURITIES, INC.
September 26, 2011 - November 7, 2013
SIGNAL SECURITIES, INC.
March 31, 1999 - April 8, 1999
MUTUAL SERVICE CORPORATION
February 25, 1999 - December 31, 2010
CENTAURUS FINANCIAL, INC.
February 25, 1999 - September 28, 2011
CENTAURUS FINANCIAL, INC.
August 15, 1994 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
November 28, 1989 - August 4, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 17, 1986 - October 4, 1989
TITAN/VALUE EQUITIES GROUP, INC.
November 4, 1985 - June 19, 1986
PILOT FINANCIAL SERVICES, INC.
August 10, 1984 - November 26, 1985
FSC SECURITIES CORPORATION
April 13, 1983 - January 7, 1985
METROPOLITAN LIFE INSURANCE COMPANY
April 13, 1983 - January 7, 1985
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
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
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
