Nicholas G. Barlas
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.
Nicholas George Barlas, who also goes by Nick G Barlas, Nick Barlas, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1992. Nicholas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2009 - December 31, 2024
SUTTERFIELD FINANCIAL GROUP, INC.
January 2, 2009 - November 29, 2017
PURSHE KAPLAN STERLING INVESTMENTS
October 31, 2008 - December 31, 2008
OSAIC SERVICES, INC.
October 31, 2008 - December 31, 2008
OSAIC SERVICES, INC.
July 24, 2003 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
December 20, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
April 25, 2001 - November 5, 2002
FIDELITY PERSONAL TRUST COMPANY, FSB
February 12, 2001 - October 28, 2002
STRATEGIC ADVISERS LLC
December 4, 2000 - October 28, 2002
FIDELITY BROKERAGE SERVICES LLC
January 24, 1994 - January 19, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
March 4, 1992 - January 15, 1994
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SUTTERFIELD FINANCIAL GROUP, INC.
CRD#: 115652 / SEC#: 801-63652
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
SUTTERFIELD FINANCIAL GROUP, INC.
CRD#: 115652 / SEC#: 801-63652
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,280 |
| AUM (Assets Under Management) | $ 220,821,609 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 10/07/2024 | ||
| 04/26/2024 | ||
| 09/13/2023 |
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.
