Scott J. Barber
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.
Scott Jeffrey Barber was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1991. Scott had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 4, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2012 - April 5, 2021
BNY MELLON SECURITIES CORPORATION
April 11, 2011 - March 8, 2012
BNY MELLON CAPITAL MARKETS, LLC
February 8, 2010 - November 17, 2010
BNY MELLON SECURITIES CORPORATION
February 8, 2008 - March 14, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 25, 2005 - March 14, 2008
UST SECURITIES CORP.
December 2, 1999 - April 12, 2005
ING INVESTMENT MANAGEMENT SERVICES LLC
November 22, 1999 - March 3, 2000
ABN AMRO SECURITIES LLC
May 27, 1998 - November 12, 1999
BNP PARIBAS SECURITIES CORP.
September 2, 1997 - May 26, 1998
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
September 7, 1993 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
October 29, 1991 - August 20, 1993
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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 7TO
Date: 9/13/2022
General Securities Representative ExaminationSeries 8
Date: 3/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
