Mark Barbera
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.
Mark Barbera was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1989. Mark had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 1993 - December 7, 2006
TRAUTMAN WASSERMAN & COMPANY, INC.
March 9, 1993 - March 31, 1994
NICHOLAS ADVISORS SECURITIES CORPORATION
November 6, 1992 - October 21, 1996
TRADE-WELL DISCOUNT INVESTING, LLC.
October 15, 1992 - March 2, 1995
CONDOR SECURITIES, INC.
September 3, 1991 - January 24, 1992
M.S. FARRELL & COMPANY, INC.
March 19, 1991 - October 10, 1996
NOLAN SECURITIES CORP.
January 8, 1991 - August 12, 1997
SAPERSTON FINANCIAL INC.
April 12, 1990 - January 16, 1991
EAST HILL CAPITAL CORP.
September 1, 1989 - May 28, 1991
MARO PARTNERS, L.P.
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
TRAUTMAN WASSERMAN & COMPANY, INC.
CRD#: 33007 / SEC#: , 8-45755
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
