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Barbara Elise Silverman

Barbara E. Silverman

SHUFRO, ROSE & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 2663959
Barbara Elise Silverman

Professional summary

Barbara Elise Silverman, CFP®, who also goes by Barbara Elise Puklin, is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.

Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Barbara has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 16 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Barbara Elise Puklin

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) - RIA

Click below to view Barbara Elise Silverman'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

October 29, 2009 - Present

SHUFRO, ROSE & CO., LLC

Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022
RIA
CRD#: 3403
New York, NY
Past

January 6, 2003 - December 10, 2015

SHUFRO, ROSE & CO., LLC

BD
CRD#: 3403
NEW YORK, NY
Past

October 18, 1995 - July 18, 2001

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SHUFRO, ROSE & CO., LLC
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)
BD
Terminated by SEC on 02/09/2016

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(10/29/2009)
IAR
New York
(3/3/2021)
IAR
Texas
(3/3/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/10/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 16
Date: 1/11/2000
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1995
General Securities Representative Examination

Current Firm

SHUFRO, ROSE & CO., LLC
SHUFRO, ROSE & CO., LLC
SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA
Registered Investment Advisory firm - SEC (4/7/1955 Approved)
BD
Terminated by SEC on 02/09/2016
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Contact information

Main Address
600 Lexington Avenue 15th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 754-5100
Established
New York since 04/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
27

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SHUFRO ROSE & CO - FORM ADV PART 2A (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
LEIT, STEPHEN DAVIDSENIOR MANAGING DIRECTOR818707
SHUFRO, EDWARD GEORGESENIOR MANAGING DIRECTOR, CEO422885
CONTANT, JOHN MARINUSSENIOR MANAGING DIRECTOR2810876
GLASS, STEVEN JEFFREYSENIOR MANAGING DIRECTOR, CFO, FINOP1756153
WACHT, HARVEYSENIOR MANAGING DIRECTOR456036
EDWARDS, MYLES JOSHUA IVCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL2040332
KAMINSKY, TONIASENIOR MANAGING DIRECTOR4134855
SHUFRO, GREGORY DAVIDSENIOR MANAGING DIRECTOR4718283

Regulatory assets under management

Total Number of Accounts1,338
AUM (Assets Under Management)$ 2,165,482,981

Disclosures

Regulatory Event11

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/17/2024
Cover Page
Report
06/14/2023
Cover Page
Report

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

SHUFRO, ROSE & CO., LLC

SHUFRO, ROSE & CO., LLC

CRD#: 3403New York, NY 10022

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