Jason S. Barbara
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.
Jason Stephan Barbara was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1994. Jason had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - November 13, 2015
TRIPOINT GLOBAL EQUITIES/BANQ(R)
May 27, 2011 - June 1, 2012
RODMAN & RENSHAW, LLC
February 17, 2009 - May 27, 2011
HUDSON SECURITIES,INC.
February 19, 2003 - April 22, 2009
WESTMINSTER SECURITIES CORPORATION
December 12, 2000 - November 18, 2002
LAIDLAW GLOBAL SECURITIES, INC.
April 18, 1997 - December 6, 2000
COLEMAN & COMPANY SECURITIES, INC.
December 20, 1996 - March 21, 1997
DONALD & CO. SECURITIES INC.
January 1, 1994 - November 25, 1996
AMERICORP SECURITIES, 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 55
Date: 5/31/2005
Limited Representative-Equity Trader ExamCurrent Firm
TRIPOINT GLOBAL EQUITIES/BANQ(R)
CRD#: 143174 / SEC#: , 8-67540
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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