Michael A. Barrett
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.
Michael Allen Barrett, who also goes by Michael Allan Barrett, Mike A Barrett, Mike Allen Barrett, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 7 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2011 - August 1, 2018
FORESTERS EQUITY SERVICES, INC.
April 25, 2007 - January 6, 2011
GENEOS WEALTH MANAGEMENT, INC.
March 1, 2007 - April 28, 2007
OSAIC WEALTH, INC.
April 28, 2003 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
April 2, 1990 - May 8, 2003
CETERA ADVISORS LLC
September 26, 1988 - April 24, 1990
INVESTACORP, INC.
April 24, 1974 - October 10, 1988
VOYA FINANCIAL ADVISORS, 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: 4/20/1974
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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