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Anthony Gerard Barbuto

CRD# 1935030·Registered 1991 - 2017
Previously Registered: Being a previously registered professional could mean that Anthony 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.

Professional Summary

Anthony Gerard Barbuto, who also goes by Anthony G Barbuto, was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1991 - 2017. Anthony had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Anthony G Barbuto

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

WAFRA SECURITIES CORPORATION·CRD# 149666
BD
New York, NY
February 17, 2010 - November 10, 2017
WAFRA SECURITIES, INC.·CRD# 16418
BD
New York, NY
June 9, 1993 - March 7, 2007
PARK SECURITIES (USA), INC.·CRD# 25378
BD
New York, NY
May 15, 1991 - February 9, 1993

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Current Firm

WS
WAFRA SECURITIES CORPORATION

WAFRA SECURITIES CORPORATION

CRD#: 149666 / SEC#: 8-68221
BD
Terminated by SEC on 11/13/2018

Contact Information

Established

Delaware since 01/26/2009

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAMPAGNA, VINCENT PAULSHAREHOLDER, DIRECTOR, CCO, CEO2667476
HEALY, FERGUS NMNSHAREHOLDER6205643
MACFADYEN, JEANINEDIRECTOR, SHAREHOLDER2984603
KIRSCHENBLATT, CHAD ETHANFINOP2503352

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1989About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Nov 1989About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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