Thomas J. Barbatti

NET WORTH ADVISORS

WATERLOO, IA 50701

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CRD#: 12073

Professional summary

Thomas Joseph Barbatti, who also goes by Tom Barbatti, is a registered financial advisor currently at NET WORTH ADVISORS located in Waterloo, Iowa.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 1, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Barbatti

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 7/31/2012: NET WORTH ADVISORS / DBA ONLY / 5% TIME SPENT / WATERLOO, IA. 2. 7/31/2012: ADVANTAGE FINANCIAL GROUP INC (AFG) / DBA ONLY / WATERLOO, IA. 3. 8/14/2014: REGISTERED INVESTMENT ADVISOR HYBRID - ADVANTAGE INVESTMENT MANAGEMENT LLC (AIM) - INVESTMENT RELATED - WATERLOO, IA. 4. 12/12/2014: REGISTERED INVESTMENT ADVISOR DBA - M FINANCIAL NETWORK, INC. - DBA: NETWORTH ADVISORS - INVESTMENT RELATED - TIME SPENT 95% - WATERLOO, IA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Barbatti's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 1, 1999 - Present

NET WORTH ADVISORS

Office #1: 999 Home Plaza, Suite 200, Waterloo, IA 50701

RIA

CRD#: 107596

WATERLOO, IA

Past

September 13, 2012 - February 1, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WATERLOO, IA

Past

July 31, 2012 - November 18, 2016

LPL FINANCIAL LLC

CRD#: 6413

WATERLOO, IA

Past

December 4, 2008 - December 20, 2016

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

WATERLOO, IA

Past

August 6, 2003 - March 30, 2009

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WATERLOO, IA

Past

July 31, 2003 - July 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

WATERLOO, IA

Past

January 1, 1999 - December 31, 2002

NET WORTH ADVISORS

RIA

CRD#: 107596

WATERLOO, IA

Past

April 3, 1998 - August 7, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 19, 1991 - April 3, 1998

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

January 4, 1990 - September 27, 1991

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

January 14, 1983 - January 17, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

May 5, 1978 - January 25, 1983

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

September 17, 1976 - May 5, 1978

DAIN, KALMAN & QUAIL, INCORPORATED

CRD#: 202

Past

August 28, 1975 - October 2, 1976

PIPER SANDLER & CO.

CRD#: 665

Past

January 15, 1974 - September 29, 1975

DAIN, KALMAN & QUAIL, INCORPORATED

CRD#: 202

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Iowa
(1/1/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/13/1988

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 7/22/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 1/11/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/6/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NET WORTH ADVISORS

M FINANCIAL NETWORK INC | NETWORTH ADVISORS | NET WORTH ADVISORS

CRD#: 107596 / SEC#: 801-45047

RIA

Registered Investment Advisory firm - (4/25/2012 Terminated)

Iowa

Registered Investment Advisory firm - (4/18/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

999 Home Plaza, Suite 200, Waterloo, IA 50701

Mailing Address

Po Box 1230, Waterloo, IA 50704

Phone number

(319) 232-5500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Thomas J. Barbatti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Barbatti's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NET WORTH ADVISORS

WALNUT STREET SECURITIES, INC.

AEGON USA SECURITIES INC.

HORNOR, TOWNSEND & KENT, LLC

PIPER SANDLER & CO.

DAIN RAUSCHER INCORPORATED

DAIN, KALMAN & QUAIL, INCORPORATED

PIPER SANDLER & CO.

DAIN, KALMAN & QUAIL, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/1998

Series 63

Date: 9/15/1979

SIE

Date: 11/18/2016

Series 3

Date: 10/13/1988

PC

Date: 7/22/1977

Series 1

Date: 1/11/1974

Series 24

Date: 2/24/2000

Series 8

Date: 2/6/1984

Current Firm

NET WORTH ADVISORS

Contact information

Documents

Red Flags

Company Information

NET WORTH ADVISORS

TRUST BUT VERIFY

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