Frederick J. Barton
Professional summary
Frederick John Barton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Frederick had worked at 3 firms, which includes TWINSPAN CAPITAL MANAGEMENT LLC, A. G. EDWARDS & SONS INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2003 - June 13, 2007
TWINSPAN CAPITAL MANAGEMENT, LLC
October 14, 1988 - October 16, 2002
A. G. EDWARDS & SONS, INC.
September 23, 1983 - October 27, 1988
CITIGROUP GLOBAL MARKETS 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
Series 8
Date: 4/14/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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