DB
Daniel Barba
PRIVATE PORTFOLIO
La Jolla, CA 92037-4535
Some features on this profile are disabled
CRD#: 1348124
DB
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 15, 2006 - Present
PRIVATE PORTFOLIO, INC.
Office #1: 7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535Office #2: 7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037Office #3: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037RIA
BD
CRD#: 36644
La Jolla, CA
Current
December 2, 1994 - Present
PRIVATE PORTFOLIO, INC.
Office #1: 7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535Office #2: 7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037Office #3: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037RIA
BD
CRD#: 36644
La Jolla, CA
Past
July 16, 1987 - August 25, 1994
IXE SECURITIES, LLC
BD
CRD#: 19920
NEW YORK, NY
Past
February 20, 1986 - October 14, 1986
SUTRO & CO. INCORPORATED
BD
CRD#: 801
Past
May 21, 1985 - October 12, 1987
INVESTMENT PLACEMENT GROUP
BD
CRD#: 14458
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/9/1994)
IAR
California(3/15/2006)
RR
Texas(7/7/2014)
IAR
Texas(7/7/2014)
RR
Washington(5/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/26/1987
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PP
PRIVATE PORTFOLIO, INC.
PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO
CRD#: 36644 / SEC#: 801-69346, 8-47421
RIA
Registered Investment Advisory firm - SEC (8/27/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (11/14/2022 Terminated)California
Registered Investment Advisory firm - SEC (4/3/2012 Approved)Florida
Registered Investment Advisory firm - SEC (6/14/2012 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (12/9/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (7/7/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037
Mailing Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535
Phone number
(858) 551-2071
Established
California since 05/18/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
20
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93 |
| AUM (Assets Under Management) | $ 91,500,000 |
Disclosures
| Regulatory Event | 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.
