Barbara L. Gettenberg
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.
Barbara Lee Gettenberg, who also goes by Barbara Gettenberg, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1993. Barbara had worked at 19 firms and has passed the Series 99TO, SIE, Series 28 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
January 4, 2016 - March 29, 2022
SINGPOLI WEALTH MANAGEMENT LLC
October 4, 2013 - January 27, 2017
LOUIS CAPITAL MARKETS, LLC
July 19, 2013 - August 17, 2015
SINGPOLI WEALTH MANAGEMENT LLC
April 12, 2013 - May 12, 2015
KPG CAPITAL PARTNERS, LLC
April 2, 2013 - February 10, 2017
CONSOLIDATED FINANCIAL INVESTMENTS, INC.
July 25, 2011 - December 5, 2011
APTO PARTNERS, LLC
November 24, 2010 - October 1, 2018
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
August 31, 2010 - May 18, 2022
TUOHY BROTHERS INVESTMENT RESEARCH, INC.
July 21, 2010 - July 30, 2013
STURDIVANT & CO. INC
January 14, 2010 - April 13, 2010
FIRST MERGER CAPITAL, INC
August 4, 2008 - December 19, 2017
SPENCER CLARKE LLC
December 20, 2005 - January 18, 2007
WHITEWELD TRADING, LLC
November 3, 2005 - December 24, 2009
CROSS POINT CAPITAL LLC
December 17, 2004 - February 15, 2005
CENTRADE SECURITIES CORP.
May 9, 2002 - August 18, 2006
FAIRFIELD HEATHCLIFF CAPITAL LLC
December 1, 2000 - March 1, 2001
HABERMAN BROS.
October 1, 2000 - April 8, 2016
VERITAS SECURITIES CORP.
October 1, 2000 - June 1, 2022
UPHOLD SECURITIES INC.
June 18, 1996 - December 17, 1998
PALI CAPITAL, LLC
March 8, 1993 - October 7, 1998
TEEVAN & CO., INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
Red Flags
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