William J. Falbo
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.
William Joseph Falbo SR, who also goes by William Joseph Falbo, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1990 - June 22, 1990
WILLIAM BARTON FINANCIAL, INC.
January 2, 1990 - February 9, 1990
BLINDER, ROBINSON & CO., INC.
February 12, 1988 - April 29, 1988
CIBC WORLD MARKETS CORP.
December 8, 1987 - February 25, 1988
FIRST OF MICHIGAN CORPORATION
June 3, 1986 - July 14, 1986
A. G. EDWARDS & SONS, INC.
November 20, 1985 - July 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
WILLIAM BARTON FINANCIAL, INC.
CRD#: 13893 / SEC#: , 8-29784
Contact information
Documents
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.
