Barbara B. Rustici
Professional summary
Barbara B Rustici was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barbara is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Barbara had worked at 6 firms, which includes AVENIR FINANCIAL GROUP, ROCKWELL GLOBAL CAPITAL LLC, NATIONAL SECURITIES CORPORATION, CONTINENTAL BROKER-DEALER CORP., PRUDENTIAL EQUITY GROUP LLC, GRUNTAL & CO. L.L.C..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2014 - February 16, 2016
AVENIR FINANCIAL GROUP
October 30, 2007 - April 18, 2013
ROCKWELL GLOBAL CAPITAL LLC
February 5, 2004 - August 15, 2007
NATIONAL SECURITIES CORPORATION
December 13, 1996 - February 2, 2004
CONTINENTAL BROKER-DEALER CORP.
June 28, 1994 - November 11, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 13, 1993 - June 14, 1994
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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