Richard A. Barone
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.
Richard Anthony Barone was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 6 firms and has passed the Series 65, SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2014 - July 6, 2015
ARBOR COURT CAPITAL, LLC
April 12, 2013 - February 12, 2015
SAFEGUARD SECURITIES, INC.
July 10, 2012 - May 14, 2020
ANCORA ADVISORS LLC
January 4, 2001 - August 1, 2017
AMERICA NORTHCOAST SECURITIES, INC.
December 16, 1974 - November 7, 2000
FIFTH THIRD/MAXUS SECURITIES INC
November 7, 1969 - August 11, 1974
J. N. RUSSELL 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
Series 1
Date: 3/17/1966
Registered Representative ExaminationF04
Date: 11/22/1974
Financial Principal ExaminationSeries 40
Date: 10/18/1969
Registered Principal ExaminationCurrent Firm
ARBOR COURT CAPITAL, LLC
CRD#: 143839 / SEC#: , 8-67609
Contact information
FINRA licenses (51 States and Territories)
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.
