Barbara L. Desiderio
Professional summary
Barbara Lucille Desiderio 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.
Barbara is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Barbara had worked at 7 firms, which includes GLOBAL ARENA CAPITAL CORP, BRAINTREE CAPITAL PARTNERS LLC, HERBERT J. SIMS CAPITAL MANAGEMENT INC., HERBERT J. SIMS & CO INC., NATIONAL SECURITIES CORPORATION, THE AGEAN GROUP INC, A. F. BEST SECURITIES INC..
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2013 - June 5, 2015
GLOBAL ARENA CAPITAL CORP
April 30, 2012 - December 20, 2013
BRAINTREE CAPITAL PARTNERS, LLC
July 13, 2005 - December 20, 2013
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
June 14, 2002 - December 20, 2013
HERBERT J. SIMS & CO, INC.
September 13, 2000 - September 12, 2002
NATIONAL SECURITIES CORPORATION
June 3, 1999 - September 25, 2000
THE AGEAN GROUP, INC
April 28, 1994 - August 3, 1999
A. F. BEST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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