Rudolph F. Barth
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.
Rudolph Francis Barth was a registered financial professional .
Rudolph is a previously registered financial professional and started their career in finance in 1969. Rudolph had worked at 18 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1998 - June 19, 2001
BLACKWOOD SECURITIES, LLC
May 30, 1996 - May 4, 1999
BANIF SECURITIES INC
December 5, 1995 - April 11, 1997
NORTHEAST SECURITIES, LLC
November 1, 1995 - January 3, 1996
FATOR SECURITIES, LLC
July 7, 1995 - November 17, 1998
AP CAPITAL CORP.
May 1, 1995 - July 26, 1996
JOSEPH GUNNAR & CO. LLC
March 17, 1995 - July 10, 1995
NICHOLS, SAFINA, LERNER & CO. INC.
February 24, 1995 - June 1, 1999
PACTUAL CAPITAL CORPORATION
February 16, 1995 - April 7, 1998
RAM SECURITIES, INC.
February 15, 1995 - June 30, 1995
NAVA SC SECURITIES, INC.
June 27, 1994 - November 8, 1994
VALMEX INTERNATIONAL INC.
February 28, 1994 - November 28, 1994
NICHOLS, SAFINA, LERNER & CO. INC.
September 18, 1992 - January 31, 1994
VALMEX INTERNATIONAL INC.
August 12, 1991 - August 14, 1992
J.W. BARCLAY & CO., INC.
March 27, 1985 - March 11, 1986
EQUITIES INTERNATIONAL SECURITIES, INC.
November 28, 1983 - July 8, 1991
CAZENOVE INCORPORATED
May 30, 1973 - May 21, 1979
SWISS AMERICAN SECURITIES INC.
May 30, 1973 - February 7, 1983
SWISS AMERICAN SECURITIES INC.
June 1, 1972 - October 19, 1973
SWISS AMERICAN CORPORATION
March 29, 1969 - June 29, 1972
HAVENFIELD CORP
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: 5/15/1967
Registered Representative ExaminationF04
Date: 4/23/1973
Financial Principal ExaminationSeries 40
Date: 3/23/1969
Registered Principal ExaminationCurrent Firm
BLACKWOOD SECURITIES, LLC
CRD#: 44669 / SEC#: , 8-50768
Contact information
Documents
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 | 4 |
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.
