James F. Barreto
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.
James Fernando Barreto was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2008 - January 31, 2014
JVB FINANCIAL GROUP, LLC
October 11, 1990 - June 2, 2008
LASALLE FINANCIAL SERVICES, INC.
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
JVB FINANCIAL GROUP, LLC
CRD#: 104412 / SEC#: , 8-52877
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JVB FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| BURKLIN, STEPHAN GEORGE | MANAGER & COO | 1808970 |
| BUTKEVITS, VINCENT WILLIAM III | PRESIDENT, CEO | 1818987 |
| DOBIE, ROBERT DENNIS | CFO, FINOP | 5453400 |
| HATTON, JOHN CHRISTOPHER | MUNICIPAL SECURITIES PRINCIPAL | 1570311 |
| SILBERMAN, JEFFREY DAVID | CHIEF LEGAL OFFICER | 5726501 |
| VACCA, KATHARINE ELIZABETH | CCO | 1821586 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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