Howard R. Barto
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.
Howard Raymond Barto was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1970. Howard had worked at 6 firms and has passed the Series 63 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
July 23, 1992 - December 31, 1992
OAKWOOD CAPITAL SECURITIES, INC.
March 14, 1988 - December 31, 1990
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 1987 - March 7, 1988
MARQUETTE FINANCIAL GROUP, INC.
August 2, 1979 - August 19, 1985
FIRST AFFILIATED SECURITIES, INC.
January 15, 1975 - August 9, 1979
MIDWEST DISCOUNT SECURITIES, INC.
March 27, 1970 - February 13, 1975
VARIABLE INVESTMENT CORPORATION
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: 4/20/1965
Registered Representative ExaminationCurrent Firm
OAKWOOD CAPITAL SECURITIES, INC.
CRD#: 21000 / SEC#: , 8-38631
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Bond | 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.
