Barbara S. Sacks
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 Sherry Sacks, who also goes by Barbara S Siegel, Barbara Sherry Siegel, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1991. Barbara had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2020 - May 8, 2023
THE LEADERS GROUP, INC.
August 25, 2011 - January 2, 2013
LIVEVOL SECURITIES, INC.
April 12, 2011 - October 14, 2011
OCEAN VIEW CAPITAL, LLC
March 13, 2008 - July 20, 2010
ECHOTRADE LLC
August 7, 2006 - October 23, 2006
REGAL SECURITIES, INC.
June 4, 2003 - July 19, 2006
STG SECURE TRADING GROUP, INC.
March 22, 1994 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 30, 1991 - March 30, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/18/2020
General Securities Representative ExaminationSeries 55
Date: 7/15/2005
Limited Representative-Equity Trader ExamCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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