Barry R. Gainsburg
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 Robert Gainsburg, who also goes by Barry Gainsburg, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1996. Barry had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 3 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
March 19, 2012 - November 13, 2012
SOCIUS FAMILY OFFICE, LLC
November 29, 2007 - December 2, 2009
STEBEN & COMPANY, LLC
March 8, 2001 - November 13, 2007
JWH SECURITIES, INC.
October 11, 2000 - January 9, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
March 21, 2000 - September 18, 2000
FIRST COLONIAL SECURITIES
August 5, 1996 - February 18, 1999
AVM, L.P.
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
SOCIUS FAMILY OFFICE, LLC
CRD#: 137800 / SEC#: 801-71580
Contact information
Regulatory assets under management
| Total Number of Accounts | 611 |
| AUM (Assets Under Management) | $ 914,985,196 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/14/2024 | ||
| 11/07/2023 | ||
| 11/21/2022 | ||
| 01/03/2022 |
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.
