Jeffrey J. Baron
Professional summary
Jeffrey Joseph Baron was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jeffrey had worked at 2 firms, which includes KLEIN MAUS & SHIRE INC., BARRON CHASE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1996 - October 6, 1999
KLEIN, MAUS & SHIRE INC.
September 21, 1995 - June 27, 1996
BARRON CHASE SECURITIES, 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
Current Firm
KLEIN, MAUS & SHIRE INC.
CRD#: 20527 / SEC#: , 8-38302
Contact information
Documents
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.
