Jason C. Barter
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.
Jason Christian Barter, who also goes by Christian Jason Barter, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1995. Jason had worked at 8 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
July 23, 2009 - June 1, 2014
JOHN CARRIS INVESTMENTS LLC
September 13, 2004 - July 16, 2009
THINKEQUITY LLC
July 12, 2004 - July 13, 2004
WM. V. FRANKEL & CO., INCORPORATED
April 15, 2002 - May 21, 2004
BROKERAGEAMERICA, LLC
June 5, 2001 - April 15, 2002
BROKERAGEAMERICA, INC
November 17, 1998 - May 31, 2001
KIRLIN SECURITIES INC.
July 13, 1998 - September 14, 1998
THINKEQUITY LLC
May 23, 1997 - December 12, 1997
THINKEQUITY LLC
October 4, 1996 - May 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 1, 1995 - October 11, 1996
COMMONWEALTH ASSOCIATES
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: 8/26/1999
Limited Representative-Equity Trader ExamCurrent Firm
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
