Jennifer Barth
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.
Jennifer Barth, who also goes by Jennifer L Barth, Jennifer Lynn Barth, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2001. Jennifer had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2020 - December 23, 2024
MUTUAL SECURITIES, INC.
August 2, 2018 - October 12, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 2018 - July 20, 2018
W&S BROKERAGE SERVICES, INC.
April 11, 2017 - July 14, 2017
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 4, 2009 - March 27, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 6, 2006 - August 22, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 22, 2006 - June 5, 2006
FIRST MIDAMERICA INVESTMENT CORPORATION
July 9, 2002 - January 30, 2006
B. C. ZIEGLER AND COMPANY
December 21, 2001 - July 10, 2002
PORTFOLIO BROKERAGE SERVICES, INC.
October 18, 2001 - December 31, 2001
B. C. ZIEGLER AND COMPANY
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
