Richard L. Barrone
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.
Richard Lee Barrone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 4 firms and has passed the Series 63, SIE 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
July 8, 2011 - November 20, 2018
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
July 2, 2009 - July 13, 2011
GROVE POINT INVESTMENTS, LLC
October 2, 1991 - July 7, 2009
WOODBURY FINANCIAL SERVICES, INC.
July 25, 1983 - September 11, 1991
AETNA LIFE INSURANCE AND ANNUITY 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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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