Barbara J. Shatto
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 Jo Shatto, who also goes by Barbara Jo Hallman, Bobbie Shatto, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1994. Barbara had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
October 15, 1999 - December 1, 2003
FINANCIAL WEST GROUP
January 15, 1999 - October 25, 1999
MUTUAL SECURITIES, INC.
October 20, 1994 - February 22, 1999
IDS LIFE INSURANCE COMPANY
October 20, 1994 - February 22, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
May 16, 1994 - October 31, 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
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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