Aldo J. Barbaglia
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.
Aldo John Barbaglia was a registered financial professional .
Aldo is a previously registered financial professional and started their career in finance in 1974. Aldo had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2017 - March 30, 2021
AMERICAN INVESTORS COMPANY
August 3, 2013 - October 16, 2015
RICE PONTES CAPITAL, INC.
July 30, 1993 - August 19, 2011
MFS FUND DISTRIBUTORS, INC.
December 23, 1986 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
October 21, 1982 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
May 20, 1981 - June 25, 1981
FORESTERS FINANCIAL SERVICES, INC.
April 27, 1977 - June 1, 1981
BERKSHIRE EQUITY SALES, INC.
July 1, 1974 - July 17, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 1, 1974 - July 17, 1977
OSAIC FA, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/22/1974
Registered Representative ExaminationSeries 40
Date: 7/23/1977
Registered Principal ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
