Barbara J. Moore
Professional summary
Barbara J Moore, who also goes by Barbara J Wright, Barbara Jane Wright, Barbara J Wright-moore, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Barbara is registered as a RR (Registered Representative) and started their career in finance in 1987. Barbara has worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Barbara J Moore's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004March 29, 2016 - February 27, 2024
UHLMANN PRICE SECURITIES, LLC
April 2, 2012 - March 23, 2016
NATIONAL SECURITIES CORPORATION
March 11, 2011 - April 13, 2012
OSAIC FS, INC.
March 11, 2011 - April 13, 2012
OSAIC FS, INC.
July 1, 2003 - March 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 14, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2024)
(3/18/2024)
(3/18/2024)
(3/18/2024)
(3/18/2024)
Exams
FINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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