Sylvia J. Bartay
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.
Sylvia Johnston Bartay was a registered financial professional .
Sylvia is a previously registered financial professional and started their career in finance in 1969. Sylvia had worked at 8 firms and has passed the Series 65 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 23, 2008 - May 16, 2011
EXECUTIVE ASSET ADVISORY, INC.
October 31, 2005 - February 3, 2012
OSAIC SERVICES, INC.
May 19, 1992 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 10, 1992 - December 31, 2007
EXECUTIVE ASSET ADVISORY, INC.
December 9, 1980 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 23, 1974 - March 15, 1980
FINANCIAL SQUARE PARTNERS
September 24, 1973 - May 25, 1974
THOMSON MCKINNON SECURITIES INC.
February 11, 1972 - November 2, 1973
KOHLMEYER & CO.
December 5, 1969 - March 10, 1972
ROWLES, WINSTON & CO., INCORPORATED
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: 11/14/1969
Registered Representative ExaminationCurrent firm
No current employment
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.
