Arnold J. Barton
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.
Arnold James Barton, who also goes by Arnold James Barton Jr, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1969. Arnold had worked at 13 firms and has passed the Series 63, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2011 - October 31, 2013
DU PASQUIER & CO., INC.
August 2, 2004 - April 26, 2010
WEISS MULTI-STRATEGY FUNDS LLC
January 14, 2004 - September 1, 2004
GEORGE WEISS ASSOCIATES, INC.
January 14, 2004 - September 1, 2004
GEORGE WEISS & COMPANY LLC
July 1, 2000 - November 20, 2003
SANDERS MORRIS LLC
May 3, 1988 - July 1, 2000
BLACKFORD SECURITIES CORP.
March 30, 1983 - February 8, 1988
E. F. HUTTON & COMPANY INC
May 14, 1981 - March 18, 1983
PRUDENTIAL EQUITY GROUP, LLC
October 14, 1980 - May 1, 1981
GEORGE WEISS ASSOCIATES, INC.
September 16, 1977 - October 24, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 5, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
March 30, 1973 - March 25, 1974
MITCHUM, JONES & TEMPLETON INCORPORATED
August 18, 1969 - February 22, 1972
ZUCKERMAN, SMITH & CO., INC.
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 000
Date: 8/15/1969
General Securities Principal ExaminationSeries 1
Date: 8/15/1969
Registered Representative ExaminationCurrent Firm
DU PASQUIER & CO., INC.
CRD#: 24750 / SEC#: 801-61795, 8-41367
Contact information
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
