Timothy L. Barna
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.
Timothy Lawrence Barna, who also goes by Tim Lawrence Barna, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2025 - November 6, 2025
NORTLOV SECURITIES LLC
July 6, 2023 - October 6, 2023
E.F. HUTTON & CO. LLC
February 20, 2020 - July 16, 2021
RBC CAPITAL MARKETS, LLC
December 6, 2019 - July 16, 2021
RBC CAPITAL MARKETS, LLC
May 31, 2013 - July 23, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
May 31, 2013 - July 23, 2014
ALLSTATE FINANCIAL SERVICES, LLC
November 5, 2007 - November 13, 2012
OPPENHEIMER & CO. INC.
April 15, 2003 - November 7, 2007
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - November 13, 2012
OPPENHEIMER & CO. INC.
November 15, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
November 15, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 28, 2000 - December 2, 2002
UBS FINANCIAL SERVICES INC.
January 20, 1999 - December 2, 2002
UBS FINANCIAL SERVICES INC.
September 27, 1991 - January 13, 1999
WELLS FARGO CLEARING SERVICES, LLC
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: 10/5/2025
General Securities Representative ExaminationSeries 52TO
Date: 12/29/2023
Municipal Securities Representative ExaminationCurrent Firm
NORTLOV SECURITIES LLC
CRD#: 318546 / SEC#: , 8-70862
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBIS COMPLIANCE & FINANCIAL SERVICES, LLC | MANAGING MEMBER | |
| SADLER, JOQUINN THOMAS | CEO, CCO, FINOP, PFO, POO | 2817763 |
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.
