Robert C. Barba

LANARK FINANCIAL

SUMMIT, NJ 07901

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CRD#: 1789096

Professional summary

Robert Charles Barba is a registered financial professional currently at LANARK FINANCIAL, INC. located in Summit, New Jersey.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Charles Barba's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 31, 2015 - Present

LANARK FINANCIAL, INC.

Office #1: 18-22 Bank Street Suite 108, Summit, NJ 07901

RIA

CRD#: 17870

SUMMIT, NJ

Past

April 10, 2012 - July 31, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

SUMMIT, NJ

Past

August 15, 2002 - April 11, 2012

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

SUMMIT, NJ

Past

May 21, 1996 - September 6, 2002

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Past

May 19, 1993 - May 28, 1996

TAGLICH BROTHERS, INC.

CRD#: 29102

COLD SPRING HARBOR, NY

Past

September 17, 1990 - June 10, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 3, 1988 - September 18, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 23, 1988 - November 2, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LANARK FINANCIAL, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA

Registered Investment Advisory firm - SEC (1/3/2001 Approved)

Alabama

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (5/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Illinois

Registered Investment Advisory firm - SEC (6/25/2001 Terminated)

Iowa

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New York

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/15/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/31/2015)

Arizona
(7/31/2015)

Arkansas
(7/31/2015)

California
(7/31/2015)

Colorado
(7/31/2015)

Connecticut
(7/31/2015)

Florida
(7/31/2015)

Georgia
(7/31/2015)

Idaho
(7/31/2015)

Illinois
(7/31/2015)

Indiana
(7/31/2015)

Iowa
(7/31/2015)

Kansas
(7/31/2015)

Louisiana
(7/31/2015)

Maine
(7/31/2015)

Maryland
(7/31/2015)

Massachusetts
(7/31/2015)

Michigan
(7/31/2015)

Minnesota
(7/31/2015)

Missouri
(7/31/2015)

Nevada
(7/31/2015)

New Hampshire
(6/20/2016)

New Jersey
(7/31/2015)

New Mexico
(11/25/2024)

New York
(7/31/2015)

North Carolina
(7/31/2015)

Ohio
(7/31/2015)

Pennsylvania
(7/31/2015)

South Carolina
(7/31/2015)

Tennessee
(7/31/2015)

Texas
(7/31/2015)

Utah
(7/31/2015)

Washington
(8/3/2015)

West Virginia
(7/31/2015)

Wisconsin
(7/31/2015)

Wyoming
(7/31/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 4/29/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 2/20/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LANARK FINANCIAL, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA

Registered Investment Advisory firm - SEC (1/3/2001 Approved)

Alabama

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (5/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Illinois

Registered Investment Advisory firm - SEC (6/25/2001 Terminated)

Iowa

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New York

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/15/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1927 1st Avenue North, Birmingham, AL 35203

Mailing Address

1927 1st Avenue North, Birmingham, AL 35203-0686

Phone number

(800) 521-9390

Established

Alabama since 03/13/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NBCS SECURITIES, INC. ADV PART 2 DISCLOSURE BROCHURE (6/30/2026)

Direct owners and executive officers

Name	Position	CRD#
LANARK FINANCIAL GROUP, LLC	SHAREHOLDER
CONWAY, PAMELA SUE	VICE PRESIDENT, OPERATIONS	2228251
DOODY, JOHN ROBERT JR	CEO	1703990
FALKENBURG, FRANK BENNER	MANAGING DIRECTOR	204097
FALKENBURG, PEYTON DAVIS	PRESIDENT	5929303
MILLER, HAROLD BLAINE	VP, CHIEF COMPLIANCE OFFICER	4214267
RANSOM, SAMUEL DOUGLAS	CHIEF FINANCIAL OFFICER	7690378

Regulatory assets under management

Total Number of Accounts	4,966
AUM (Assets Under Management)	$ 1,784,817,450

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Robert C. Barba

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Charles Barba's CRS (Customer Relationship Summary).

Certified licenses

Experience

JHS CAPITAL ADVISORS, LLC

PAULSON INVESTMENT COMPANY LLC

WEATHERLY SECURITIES CORPORATION

TAGLICH BROTHERS, INC.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LANARK FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 4/29/1988

SIE

Passed: 10/1/2018

Series 7

Passed: 2/20/1988

FINRA

Current Firm

LANARK FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LANARK FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors