Jeffrey A. Baber
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.
Jeffrey Allen Baber, who also goes by Jeffrey Allen Baber, Jeffrey Baber, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 4, Series 24 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
July 10, 2019 - April 26, 2023
NFSG CORPORATION
June 24, 2019 - April 26, 2023
NEWBRIDGE SECURITIES CORPORATION
September 4, 2018 - July 2, 2019
FIRST STANDARD FINANCIAL ADVISORY
January 2, 2018 - June 7, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
September 2, 2010 - December 19, 2012
VFINANCE INVESTMENTS, INC
January 21, 2010 - December 1, 2017
B. RILEY WEALTH ADVISORS, INC.
December 21, 2009 - December 1, 2017
NATIONAL SECURITIES CORPORATION
August 3, 2006 - December 24, 2009
GUNNALLEN FINANCIAL, INC
August 12, 2002 - December 24, 2009
GUNNALLEN FINANCIAL, INC
June 21, 1993 - August 9, 2002
FIRST MONTAUK SECURITIES CORP.
February 3, 1992 - June 21, 1993
MORGAN STANLEY DW INC.
April 15, 1991 - February 5, 1992
TUCKER ANTHONY INCORPORATED
February 28, 1985 - April 23, 1991
MORGAN STANLEY DW INC.
August 9, 1984 - February 27, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
February 24, 1984 - September 24, 1984
FIRST INTERREGIONAL EQUITY CORP.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/16/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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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