Alfredo Barreto
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.
Alfredo Barreto Jr., who also goes by Alfredo Barreto Jr, Alfredo Barreto, was a registered financial professional .
Alfredo is a previously registered financial professional and started their career in finance in 1994. Alfredo had worked at 8 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 79, 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
November 11, 2024 - December 11, 2024
BA SECURITIES, LLC
April 1, 2021 - December 9, 2022
CITIZENS JMP SECURITIES, LLC
September 2, 2010 - April 2, 2021
WOOD WARREN & CO. SECURITIES, LLC
January 10, 2006 - February 20, 2009
THE SILVERFERN GROUP, INC.
December 12, 2003 - October 19, 2005
CONSOR ADVISORS LLC
May 1, 2001 - September 20, 2001
J.P. MORGAN SECURITIES INC.
March 26, 1997 - May 1, 2001
JPMSI
September 2, 1994 - March 6, 1997
MORGAN STANLEY & CO. LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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