Barbara L. Coffey
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.
Barbara Leslie Coffey, who also goes by Bobbi Coffey, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1986. Barbara had worked at 16 firms and has passed the Series 63, Series 87, Series 7 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
February 27, 2012 - July 3, 2012
NATIONAL SECURITIES CORPORATION
November 8, 2010 - February 27, 2012
FAGENSON & CO., INC.
January 14, 2010 - May 26, 2010
SHS SECURITIES, INC.
April 17, 2006 - November 16, 2009
KAUFMAN BROS., L.P.
November 1, 2005 - February 7, 2006
BREAN CAPITAL, LLC
July 16, 2004 - March 14, 2006
BREAN MURRAY & CO., INC.
May 6, 2002 - April 16, 2004
JEFFERIES/QUARTERDECK, LLC
November 16, 2001 - July 2, 2004
JEFFERIES LLC
March 29, 1999 - December 14, 1999
BANC OF AMERICA SECURITIES LLC
November 2, 1998 - March 3, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - December 2, 1998
DB ALEX. BROWN LLC
August 22, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 8, 1993 - December 20, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
September 17, 1991 - December 6, 1993
FACTSET DATA SYSTEMS, INC.
October 16, 1989 - March 12, 1990
SOUTHPORT PARTNERS L.P.
December 23, 1986 - September 1, 1988
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
