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Christopher R. Barone

Some features on this profile are disabled
CRD#: 2032268
CB

Professional summary

Christopher Richard Barone was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Christopher had worked at 5 firms, which includes MARINER INVESTMENT GROUP, ARBOR COURT CAPITAL LLC, INVERNESS SECURITIES LLC, AMERICA NORTHCOAST SECURITIES INC., FIFTH THIRD/MAXUS SECURITIES INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

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

Past

April 12, 2018 - May 9, 2018

MARINER INVESTMENT GROUP

BD
CRD#: 35993
HOUSTON, TX
Past

August 18, 2010 - November 7, 2016

ARBOR COURT CAPITAL, LLC

BD
CRD#: 143839
CLEVELAND, OH
Past

April 12, 2004 - June 24, 2016

INVERNESS SECURITIES, LLC

BD
CRD#: 129914
CLEVELAND, OH
Past

July 13, 1999 - August 2, 2017

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

June 28, 1990 - July 13, 1999

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
CLEVELAND, OH

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/24/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/1999
General Securities Principal Examination

Current Firm

MI
MARINER INVESTMENT GROUP
MARINER FINANCIAL GROUP | MIG REGISTERED ADVORY INVESTMEN | MARINER INVESTMENT GROUP | MARINER FINANCIAL GROUP, INC.

CRD#: 35993 / SEC#: , 8-47067

BD
Terminated by SEC on 09/21/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JOE F. & THERESE M. MOORE CHILDREN FAMILY TRUSTPART OWNER
DAVIS, STEVEN ROGER MR.FINOP & OPTION PRINCIPAL721252
ECFORD, WELDON JAMESTRUSTEE1276523
ECFORD, WELDON JAMESPRESIDENT, CCO1276523
MOORE, THERESE MTRUSTEE5864925

Disclosures

Regulatory Event4

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.

Company Information

MARINER INVESTMENT GROUP

CRD#: 35993

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