Philip L. Barbee
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.
Philip L Barbee was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1971. Philip had worked at 7 firms and has passed the Series 63, Series 7, Series 1, Series 24 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
October 27, 1988 - March 15, 1989
MULTIVEST SECURITIES, INC.
October 14, 1985 - October 20, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 1985 - August 12, 1985
E. F. HUTTON & COMPANY INC
April 27, 1985 - June 27, 1985
THOMSON MCKINNON SECURITIES INC.
April 25, 1979 - April 13, 1981
MORGAN STANLEY DW INC.
July 8, 1974 - May 23, 1980
THOMSON MCKINNON SECURITIES INC.
August 8, 1973 - August 19, 1975
W. E. HUTTON & CO.
June 22, 1971 - August 16, 1973
BACHE & CO INCORPORATED
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 1
Date: 2/9/1970
Registered Representative ExaminationSeries 40
Date: 11/5/1976
Registered Principal ExaminationCurrent Firm
MULTIVEST SECURITIES, INC.
CRD#: 924 / SEC#: , 8-14728
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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