Barbara J. Paul
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.
Barbara Jean Paul, who also goes by Barbara J Galakatos, Barbara Jean Galakatos, Barbara (toomey) Paul, Barbara J Paul, Barbara Paul, Barbara J Paulsutter, Barbara Paul Sutter, Barbara Paul Toomey, Paul Toomey, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1985. Barbara had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - February 28, 2018
CORNERSTONE WEALTH MANAGEMENT, LLC
September 30, 2014 - March 6, 2018
LPL FINANCIAL LLC
May 30, 2008 - September 30, 2014
SPIRE WEALTH MANAGEMENT, LLC
May 30, 2008 - September 30, 2014
SPIRE SECURITIES, LLC
April 2, 2007 - June 16, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 16, 2008
MORGAN STANLEY & CO. LLC
July 25, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
July 25, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 2003 - July 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 14, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 14, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - May 5, 1988
LEHMAN BROTHERS INC.
March 30, 1988 - October 13, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CORNERSTONE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
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: 2/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CORNERSTONE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,813 |
| AUM (Assets Under Management) | $ 4,082,513,557 |
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.
