David L. Barber
Professional summary
David Lloyd Barber was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, David had worked at 7 firms, which includes MADISON AVENUE SECURITIES LLC, FIRST MIDWEST SECURITIES INC., RAYMOND JAMES & ASSOCIATES INC., RBC CAPITAL MARKETS LLC, SUTRO & CO. INCORPORATED, CROWELL WEEDON & CO., BWS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2015 - January 12, 2018
MADISON AVENUE SECURITIES, LLC
September 20, 2011 - March 9, 2015
FIRST MIDWEST SECURITIES, INC.
August 6, 2007 - October 11, 2011
RAYMOND JAMES & ASSOCIATES, INC.
March 9, 2002 - August 28, 2007
RBC CAPITAL MARKETS, LLC
December 3, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
June 10, 1994 - December 14, 1999
CROWELL, WEEDON & CO.
January 30, 1987 - June 30, 1994
SUTRO & CO. INCORPORATED
October 28, 1986 - February 11, 1987
BWS, INC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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