John P. Barton
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.
John Patrick Barton, who also goes by Jay Barton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 10 firms and has passed the Series 63, SIE and Series 7 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, 2011 - July 1, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 14, 2011
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
January 25, 1993 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 9, 1992 - February 12, 1993
W.A. CAPITAL MARKETS
February 28, 1991 - September 9, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
February 1, 1990 - February 28, 1991
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
May 5, 1989 - February 6, 1990
FINANCIAL SQUARE PARTNERS
February 11, 1987 - May 8, 1989
MINT BROKERS
March 28, 1984 - March 27, 1985
CREATIVE SECURITIES CORP.
October 19, 1983 - December 20, 1983
BLINDER, ROBINSON & CO., 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
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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