Barry J. Skarbek
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 James Skarbek was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1994. Barry had worked at 9 firms and has passed the Series 63, 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 19, 2012 - May 10, 2013
VISION FINANCIAL MARKETS LLC
July 3, 2012 - October 25, 2012
COWEN EQUITY FINANCE LP
October 30, 2007 - May 2, 2012
DAIWA CAPITAL MARKETS AMERICA INC.
April 17, 2007 - October 24, 2007
JEFFERIES BACHE SECURITIES, LLC
July 13, 2006 - March 22, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
February 19, 2004 - July 5, 2006
DAIWA CAPITAL MARKETS AMERICA INC.
May 1, 1998 - February 3, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
November 6, 1995 - April 17, 1998
ING BARING (U.S.) SECURITIES, INC.
August 16, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
April 5, 1994 - August 9, 1994
HIBBARD BROWN & 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 55
Date: 9/9/2002
Limited Representative-Equity Trader ExamCurrent Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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