Jeffrey M. Barber
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 Mark Barber was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2012 - December 2, 2015
INVEST FINANCIAL CORPORATION
November 9, 2012 - December 2, 2015
INVEST FINANCIAL CORPORATION
June 1, 2006 - November 9, 2012
INVESTORS CAPITAL CORP.
January 6, 2005 - November 9, 2012
INVESTORS CAPITAL CORP.
January 14, 2002 - December 31, 2004
L.M. KOHN & COMPANY
January 22, 1999 - January 10, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 28, 1998 - June 30, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 21, 1995 - January 23, 1998
NATIONWIDE SECURITIES, LLC
July 22, 1988 - January 1, 1990
LEHMAN BROTHERS INC.
August 19, 1985 - August 4, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1984 - August 30, 1985
E. F. HUTTON & COMPANY 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
Exams
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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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