James T. Barber
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.
James T Barber, who also goes by James Thomas Barber III, James Thomas Barber Jr, James Thomas Barber, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 17 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2016 - April 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2015 - March 12, 2015
ALPHASTAR CAPITAL MANAGEMENT
December 26, 2013 - May 22, 2014
ALIGHT FINANCIAL SOLUTIONS, LLC
February 14, 2012 - October 15, 2013
UBS FINANCIAL SERVICES INC.
January 13, 2012 - October 15, 2013
UBS FINANCIAL SERVICES INC.
October 15, 2010 - July 20, 2011
RCH SECURITIES
May 12, 2008 - December 2, 2009
VANGUARD MARKETING CORPORATION
February 7, 1997 - April 16, 1997
FAIRCHILD FINANCIAL GROUP, INC.
November 1, 1996 - January 1, 1997
SUPPES SECURITIES, INC.
October 11, 1996 - December 13, 1996
LITWIN SECURITIES INC.
June 21, 1996 - September 4, 1996
FIRST COLONIAL SECURITIES
April 18, 1996 - May 10, 1996
FIRST LIBERTY INVESTMENT GROUP, INC.
March 29, 1996 - May 3, 1996
PARAGON CAPITAL MARKETS, INC.
October 26, 1995 - January 17, 1996
INVESTORS ASSOCIATES, INC.
December 1, 1994 - March 9, 1995
CHATFIELD DEAN & CO., INC.
November 23, 1993 - September 7, 1994
J. GREGORY & COMPANY, INC.
August 4, 1993 - December 7, 1993
H.J. MEYERS & CO., INC.
May 4, 1993 - June 9, 1993
R.K. STEELE
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
