Joseph V. 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.
Joseph Vincent Barbara SR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2002 - December 31, 2003
HARVEST CAPITAL LLC
June 2, 1997 - December 31, 2001
UNITED SECURITIES ALLIANCE, INC.
April 27, 1994 - March 4, 1997
BRAUER & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HARVEST CAPITAL LLC
CRD#: 35723 / SEC#: , 8-46845
Contact information
Documents
Direct owners and executive officers
Disclosures
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
