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RB

Robert J. Barbo

Some features on this profile are disabled
CRD#: 2314114
RB

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.

Robert John Barbo, who also goes by John Barbo, R. John Barbo, Robert John Barbo, Robert Barbo, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Barbo | R. John Barbo | Robert John Barbo | Robert Barbo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 28, 2021 - November 26, 2025

NUVEEN SECURITIES, LLC

BD
CRD#: 469
Vero Beach, FL
Past

May 14, 2012 - January 5, 2021

APOLLO GLOBAL SECURITIES, LLC

BD
CRD#: 153502
NEW YORK, NY
Past

October 20, 2009 - May 4, 2012

MAN INVESTMENTS INC.

BD
CRD#: 15770
NEW YORK, NY
Past

June 1, 2009 - September 16, 2009

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 1, 2009 - September 16, 2009

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

April 23, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

April 23, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 1, 2004 - March 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PLAINSBORO, NJ
Past

March 20, 2003 - March 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 20, 2001 - March 20, 2003

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

July 31, 1999 - March 22, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 21, 1997 - May 1, 1998

CORINTHIAN PARTNERS, L.L.C.

BD
CRD#: 38912
NEW YORK, NY
Past

October 24, 1994 - October 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 19, 1993 - November 1, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/3/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 3/7/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2005
General Securities Principal Examination

Current Firm

NUVEEN SECURITIES, LLC
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NUVEEN INVESTMENTS, INC.MANAGING MEMBER
CARLIN, JEFFREY DENNISCHIEF EXECUTIVE OFFICER2684780
MANGANO, JENNIFER LYNNCHIEF FINANCIAL OFFICER7659359
SATRE, LUCAS ARTHURGENERAL COUNSEL2208099
SMITH, SHANITA SPIVEYCHIEF COMPLIANCE OFFICER5174146

Disclosures

Regulatory Event7
Civil Event2
Arbitration1

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.

Company Information

NUVEEN SECURITIES, LLC

NUVEEN SECURITIES, LLC

CRD#: 469

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