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Barry A. Kaufman

Some features on this profile are disabled
CRD#: 2774898
BK

Professional summary

Barry Alan Kaufman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Barry is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Barry had worked at 9 firms, which includes BERRY-SHINO SECURITIES INC., LH ROSS & COMPANY INC., CONTINENTAL BROKER-DEALER CORP., SHARPE CAPITAL INC., JOSEPH DILLON & COMPANY INC., WHITEHALL WELLINGTON INVESTMENTS INC., LADENBURG CAPITAL MANAGEMENT INC., LEGEND MERCHANT GROUP INC., INVESTORS ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 19, 2001 - November 27, 2001

BERRY-SHINO SECURITIES, INC.

BD
CRD#: 38098
SCOTTSDALE, AZ
Past

December 18, 2000 - July 24, 2001

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

May 5, 2000 - June 19, 2000

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

September 27, 1999 - May 10, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

January 29, 1999 - August 23, 1999

JOSEPH DILLON & COMPANY INC.

BD
CRD#: 35220
GREAT NECK, NY
Past

April 7, 1998 - October 2, 1998

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

January 8, 1998 - February 20, 1998

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 15, 1997 - October 22, 1997

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

April 22, 1997 - May 19, 1997

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, NY
Past

December 10, 1996 - May 9, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 10/29/1996
Corporate Securities Limited Representative Examination

Current Firm

BS
BERRY-SHINO SECURITIES, INC.
BERRY-SHINO SECURITIES, INC.

CRD#: 38098 / SEC#: , 8-48091

BD
Terminated by SEC on 04/26/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 07/16/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MALONE, VERNA CAMPBELLSHAREHOLDER, DIRECTOR5943148
BERRY, ROBERT LEESHAREHOLDER, DIRECTOR, PRESIDENT1575345
CAMPBELL, MARLENE MARYSHAREHOLDER6124193
CAMPBELL, ROBERT MARLOWESHAREHOLDER6124205
HUNTER WISE SECURITIES, LLCSHAREHOLDER104193
DANIEL, MARY TERESEFINOP, CFO, CCO4539009

Disclosures

Regulatory Event4
Arbitration3

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

BERRY-SHINO SECURITIES, INC.

CRD#: 38098

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