Barry S. Gordon
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.
Barry Steven Gordon was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1971. Barry had worked at 9 firms and has passed the Series 1 and Series 00 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, 1984 - January 1, 1986
INVESTACORP, INC.
November 9, 1982 - June 4, 1984
NETWORK EQUITIES, INC.
May 27, 1981 - September 30, 1982
MINOCO PROGRAMS, INC.
August 24, 1978 - June 12, 1981
TOLD SECURITIES, INC.
August 12, 1974 - December 18, 1975
WESTERN AMERICA CORPORATION
May 13, 1974 - September 19, 1974
LEXTON INVESTMENT SERVICES CORPORATION
April 4, 1973 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
June 27, 1972 - April 23, 1973
ERIC BRUCKNER FINANCIAL CORPORATION
March 24, 1971 - January 13, 1972
H. HENTZ & CO., INC.
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 1
Date: 8/14/1978
Registered Representative ExaminationSeries 00
Date: 11/27/1972
General Securities Principal ExaminationCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
