Barbara J. Alberty
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 Jeanne Alberty, who also goes by Barbara J Thoele, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1992. Barbara had worked at 2 firms and has passed the Series 63, Series 2 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
November 17, 2009 - July 30, 2023
ALBERTY ASSET MANAGEMENT LLC
October 26, 1992 - July 20, 1994
PRUCO SECURITIES, 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 2
Date: 9/27/1994
Non-Member General Securities ExaminationCurrent Firm
ALBERTY ASSET MANAGEMENT LLC
CRD#: 151685 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 48,639,657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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