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AB

Alfred E. Barr

Some features on this profile are disabled
CRD#: 1279071
AB

Professional summary

Alfred Edward Barr was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alfred is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Alfred had worked at 5 firms, which includes PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., FFP SECURITIES INC., AMERICAN CAPITAL CONTRACTUAL SERVICES INC., ADVANTAGE CAPITAL CORPORATION, G. R. PHELPS & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 1991 - November 24, 1992

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
EL PASO, TX
Past

July 2, 1990 - November 26, 1990

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

November 17, 1987 - October 17, 1988

AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.

BD
CRD#: 148
Past

November 17, 1987 - July 19, 1990

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

August 14, 1984 - January 11, 1988

G. R. PHELPS & CO., INC.

BD
CRD#: 173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/5/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/5/1991
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PA
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
EQUISEARCH INVESTMENT BANKERS CORPORATION | SPRUNG AND WISE SECURITIES, INC. | SPRUNG & WISE SECURITIES, INC. | SPRUNG & WISE AND BRIDGEROCK SECURITIES | PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. | PORTFOLIO ASSET MGT. & INVESTMENT ADVISORY SERVICES, INC. | NONE

CRD#: 13741 / SEC#: , 8-45398

BD
Cancelled by SEC on 07/15/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/08/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

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.

Company Information

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

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