Rudolph Francis Barth
Professional Summary
Rudolph Francis Barth was a registered financial advisor. Rudolph was a previously registered financial professional and started their career in finance 1969 - 2001. Rudolph had worked at 18 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 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
No current employment
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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
59 years in the financial services industry
Current & Past Employments
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Current Firm
BLACKWOOD SECURITIES, LLC
Contact Information
Established
New York since 01/09/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAG, LAURENCE ANDREW | PARTNER | — |
| DAVID, MARK | INVESTOR | — |
| OTAF,LLC | INVESTOR | — |
| SCHLIFSTEIN, CRAIG ROBERT | MANAGING PARTNER & GSP | — |
| WEINGER, BENJAMIN H | MANAGING PARTNER, GSP AND ROP | — |
| STEIN, MARK | INVESTOR | — |
| DAVID, ADAM SEAN | INVESTOR | — |
| MGP STRATEGIC PARTNERS | INVESTOR | — |
| WONG, JAMES KWONG | FINANCIAL AND OPERATIONS PRINCIPAL, CONTROLLER | 1356703 |
Disclosures
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed May 1967F04 — Financial Principal Examination
Passed Apr 1973Series 40 — Registered Principal Examination
Passed Mar 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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