MB
Marc Barton
NFSG
FRESNO, CA
Some features on this profile are disabled
CRD#: 2937356
MB
Professional summary
Marc Barton is a registered financial advisor currently at NFSG CORPORATION located in Fresno, California and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Marc has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1). 02/25/2022 - Marc Barton/Insurance - Investment Related - Fresno, CA - Insurance agent/fixed insurance, Date - 02/15/2018 - 10 Hours Per Month/1 Hours During Securities Trading. 2). 05/10/2022 - VENTURE REAL ESTATE - Not Investment Related - 1089 County St. Somerset, MA 02726 - Mortgage/Real Estate Services - Start Date - 11/01/2019 - 10 Hours Per Month/ 0 Hours During Securities Trading. 3). Minglewood Homes Inc.: 9/2022- They build homes in Chatham, MA; Investor/Invested money in the project, will receive a return when completed. Corporation: Not investment related, Time spent on this activity during regular business hours is 0%. 4). MARC BARTON REALTOR - Self-employed realtor. Fresno, CA - 09/01/2023 - on-going - Not Investment related - Commission only - 10% of time, I have been licensed to sell real estate in the State of Maryland, through my real estate broker Cummings and Co. Realtors in Annapolis, Maryland. Buy and sell residential and commercial property for non-investment clients.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Barton's 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®
NoneExperience
Current
September 29, 2022 - Present
NFSG CORPORATION
RIA
CRD#: 130814
FRESNO, CA
Current
September 29, 2022 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
May 11, 2017 - September 13, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FRESNO, CA
Past
May 10, 2017 - September 13, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
FRESNO, CA
Past
October 24, 2013 - May 12, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
FRESNO, CA
Past
October 24, 2013 - May 12, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
FRESNO, CA
Past
November 3, 2010 - October 28, 2013
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FRESNO, CA
Past
November 3, 2010 - October 28, 2013
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FRESNO, CA
Past
February 8, 2008 - November 9, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
FRESNO, CA
Past
February 8, 2008 - November 9, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
FRESNO, CA
Past
April 20, 2004 - January 20, 2010
LINKER FINANCIAL GROUP, INC.
RIA
CRD#: 127461
FRESNO, CA
Past
January 8, 2004 - April 19, 2004
OSAIC FS, INC.
RIA
CRD#: 3870
FRESNO, CA
Past
January 8, 2004 - February 14, 2008
OSAIC FS, INC.
BD
CRD#: 3870
FRESNO, CA
Past
July 1, 2003 - January 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FRESNO, CA
Past
July 1, 2003 - January 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 31, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
FRESNO, CA
Past
January 5, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 19, 1997 - January 26, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/29/2022)
IAR
California(9/29/2022)
RR
Maryland(1/26/2023)
RR
Nevada(4/9/2024)
RR
New York(1/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
