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RB

Robert J. Barreca

FOUR POINTS CAPITAL PARTNERS
EAST AMHERST, NY
Some features on this profile are disabled
CRD#: 2490354
RB

Professional summary

Robert Joseph Barreca, who also goes by Bob Barreca, Robert J Barreca, is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in East Amherst, New York and W G SECURITIES, LLC located in West Hartford, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 12 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 62, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Barreca | Robert J Barreca

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) - BD

Click below to view Robert Joseph Barreca's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 13, 2024 - Present

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
EAST AMHERST, NY
Current

June 30, 2025 - Present

W G SECURITIES, LLC

Office #1: 10 N Main Street Suite 214, West Hartford, CT 06107
BD
CRD#: 140869
West Hartford, CT
Current

December 22, 2025 - Present

MSEC, LLC

Office #1: 195 Wellingwood Drive, East Amherst , NY 14051Office #2: 5700 W 112th Street Suite 500, Overland Park, KS 66211
BD
CRD#: 154327
East Amherst , NY
Past

March 1, 2024 - May 24, 2024

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
ANN ARBOR, MI
Past

March 14, 2018 - June 7, 2023

MOBILITY SECURITIES, LLC

BD
CRD#: 285222
San Jose, CA
Past

May 2, 2017 - March 22, 2024

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
Buffalo, NY
Past

January 2, 2014 - March 3, 2022

WHARTON MIDMARKET SECURITIES INC.

BD
CRD#: 167531
WOODBRIDGE, CT
Past

August 2, 2011 - August 30, 2013

CROSS POINT CAPITAL LLC

BD
CRD#: 136223
NEW YORK, NY
Past

September 22, 2005 - August 2, 2017

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
CLARENCE, NY
Past

January 4, 1999 - August 24, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

November 4, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

September 18, 1995 - November 5, 1998

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

August 1, 1994 - August 25, 1995

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kansas
(6/30/2025)
RR
New York
(6/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/13/2013
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/6/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ML
MSEC, LLC
MARINER | MSEC, LLC | MONTAGE SECURITIES, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH

CRD#: 154327 / SEC#: , 8-68627

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

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Phone number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

Disclosures

Regulatory Event1

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

MSEC, LLC

CRD#: 154327East Amherst, NY

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