Brian F. Barrabee
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.
Brian Frederick Barrabee was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1971. Brian had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1985 - November 10, 1986
NATHAN & LEWIS SECURITIES, INC.
July 24, 1985 - December 9, 1985
HIMCO DISTRIBUTION SERVICES COMPANY
September 25, 1973 - November 18, 1976
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
March 2, 1971 - October 15, 1973
SECURITY INVESTMENT SERVICES CORP.
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: 2/25/1971
Registered Representative ExaminationCurrent Firm
NATHAN & LEWIS SECURITIES, INC.
CRD#: 8503 / SEC#: , 8-25463
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
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.
