Barbara B. Broadbent
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 Babcock Broadbent was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1983. Barbara had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2008 - December 31, 2014
FORTUNE FINANCIAL SERVICES, INC.
October 19, 2004 - December 3, 2007
CONTEMPORARY FINANCIAL SOLUTIONS, INC.
May 12, 1993 - December 31, 2003
COMMONWEALTH FINANCIAL NETWORK
December 17, 1991 - May 5, 1993
MYD MARKET, INC
May 1, 1991 - December 17, 1991
MUTUAL FUNDS/AMERICA, INC.
August 14, 1986 - May 21, 1991
NEW ENGLAND SECURITIES
November 26, 1985 - June 23, 1986
OLD SLIP CAPITAL MANAGEMENT, INC.
May 10, 1983 - December 13, 1985
METROPOLITAN LIFE INSURANCE COMPANY
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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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