Harold J. Barbret
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.
Harold Joseph Barbret, who also goes by Harold J Barbret, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1973. Harold had worked at 7 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 1987 - September 13, 1990
MARINER FINANCIAL SERVICES, INC.
August 11, 1986 - September 21, 1987
FIRST HERITAGE CORPORATION
April 30, 1981 - August 11, 1986
SUPERIOR EQUITIES, INC.
August 7, 1979 - June 1, 1981
MUTUAL SERVICE CORPORATION
August 9, 1973 - September 15, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
August 9, 1973 - September 15, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
August 9, 1973 - September 15, 1979
IDS LIFE INSURANCE COMPANY
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: 8/6/1973
Registered Representative ExaminationCurrent Firm
MARINER FINANCIAL SERVICES, INC.
CRD#: 8292 / SEC#: , 8-25216
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
