Barry M. Kornfeld
Professional summary
Barry Michael Kornfeld was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barry is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Barry had worked at 11 firms, which includes BROOKSTREET SECURITIES CORPORATION, NATIONS FINANCIAL GROUP INC., ARCHER ALEXANDER SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, KOVACK SECURITIES INC., PACVEST ASSOCIATES INC., LPL FINANCIAL LLC, CIBC WORLD MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, THOMSON MCKINNON SECURITIES INC., TOWER SQUARE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2006 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
January 13, 2004 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
December 18, 2003 - January 5, 2004
NATIONS FINANCIAL GROUP, INC.
April 23, 2003 - December 19, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
May 20, 2002 - April 21, 2003
GUNNALLEN FINANCIAL, INC
July 11, 2001 - May 22, 2002
KOVACK SECURITIES INC.
October 11, 1999 - July 2, 2001
PACVEST ASSOCIATES, INC.
January 23, 1996 - August 27, 1999
LPL FINANCIAL LLC
December 21, 1992 - January 17, 1996
CIBC WORLD MARKETS CORP.
December 14, 1987 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1986 - December 19, 1987
THOMSON MCKINNON SECURITIES INC.
April 30, 1986 - July 25, 1986
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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