Daniel Barba
Professional Summary
Daniel Barba is a registered financial advisor currently at PRIVATE PORTFOLIO, INC. located in La Jolla, California. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, Series 99TO, Series 52TO, SIE, Series 15, Series 7, Series 26, Series 27, Series 24, Series 53 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO
Contact Information
Main Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037Mailing Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535Phone Number
(858) 551-2071Established
California since 05/18/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
19FINRA licenses (12 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
37AUM (Assets Under Management)
$50,000,000Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(12/9/1994)
(3/15/2006)
(7/7/2014)
(7/7/2014)
(5/6/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed Mar 1987Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Barba's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Barba's CRS (Customer Relationship Summary).
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