Barry M. Misbin

THE CAPITAL GROUP

CRANSTON, RI 02920

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CRD#: 1909938

Professional summary

Barry Marc Misbin is a registered financial advisor currently at THE CAPITAL GROUP located in Cranston, Rhode Island and FORTUNE FINANCIAL SERVICES, INC. located in Warwick, Rhode Island.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Barry has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

OFFICER, THE CAPITAL GROUP INVESTMENT ADVISORS,INC.,1220 PONTIAC AVE SUITE 301 CRANSTON, RI 02920 VICE PRESIDENT, START DATE 10/16/2000, 20 HOURS PER WEEK DEVOTED TO BUSINESS OF RUNNING AN INVESTMENT ADVISOR OFFICER, THE CAPITAL GROUP FINANCIAL ADVISORS,INC.,1220 PONTIAC AVE SUITE 301 CRANSTON, RI 02920 PRESIDENT, START DATE 1/15/1983, 5 HOURS PER MONTH DEVOTED TO BUSINESS OF INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Marc Misbin's 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

June 20, 2001 - Present

THE CAPITAL GROUP

Office #1: 1220 Pontiac Ave Ste 301, Cranston, RI 02920

RIA

CRD#: 129615

CRANSTON, RI

Current

October 15, 2020 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 300 Jefferson Blvd #205, Warwick, RI 02888

CRD#: 42150

Warwick, RI

Past

October 16, 2000 - December 31, 2020

THE CAPITAL GROUP SECURITIES, INC.

CRD#: 104052

CRANSTON, RI

Past

January 24, 1989 - November 9, 2000

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(1/10/2023)

IAR

Florida
(6/20/2012)

Florida
(10/15/2020)

IAR

Massachusetts
(9/12/2007)

Massachusetts
(10/15/2020)

IAR

Rhode Island
(6/20/2001)

Rhode Island
(10/15/2020)

IAR

Texas
(1/17/2017)

Texas
(10/15/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/5/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/15/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE CAPITAL GROUP

THE CAPITAL GROUP | THE CAPITAL GROUP INVESTMENT ADVISORS INC

CRD#: 129615 / SEC#: 801-69517

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/20/2012 Approved)

Massachusetts

Registered Investment Advisory firm - (5/10/2012 Approved)

Rhode Island

Registered Investment Advisory firm - (5/1/2012 Approved)

Texas

Registered Investment Advisory firm - (1/27/2014 Conditional Restricted)

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).

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Contact information

Main Address

300 Jefferson Blvd. Suite 205, Warwick, RI 02888

Mailing Address

Phone number

(401) 943-2210

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 55,909,806

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.

Contact information

xxxxx@xxxx.xxx

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CITIZENS SECURITIES, INC.

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Advisor Monitoring

Firm Stability Insights

Barry M. Misbin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Marc Misbin's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

THE CAPITAL GROUP SECURITIES, INC.

INVESTACORP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1992

Series 63

Date: 3/6/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1989

Series 27

Date: 8/15/2000

Series 24

Date: 8/4/1992

FINRA

Current Firm

THE CAPITAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE CAPITAL GROUP

TRUST BUT VERIFY

Contact information

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