Thomas Joseph Barbatti
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Barbatti
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
M FINANCIAL NETWORK INC | NETWORTH ADVISORS | NET WORTH ADVISORS
Contact Information
Main Address
315 E San Marnan Dr., Waterloo, IA 50702Mailing Address
Po Box 1230, Waterloo, IA 50704-1230Phone Number
(319) 232-5500# of Employees
2Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jul 1977Series 1 — Registered Representative Examination
Passed Jan 1974Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1984Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Barbatti's CRS (Customer Relationship Summary).
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