Ross A. Barish
Professional summary
Ross Adam Barish was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ross is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Ross had worked at 7 firms, which includes JOSEPH STONE CAPITAL L.L.C., FIRST MIDWEST SECURITIES INC., J.P. TURNER & COMPANY L.L.C., LADENBURG THALMANN & CO. INC., KBR CAPITAL MARKETS LLC, LADENBURG CAPITAL MANAGEMENT INC., SANDS BROTHERS & CO. LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2013 - August 12, 2022
JOSEPH STONE CAPITAL L.L.C.
October 17, 2008 - February 26, 2013
FIRST MIDWEST SECURITIES, INC.
February 1, 2008 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
September 22, 2006 - February 22, 2008
LADENBURG THALMANN & CO. INC.
September 20, 2004 - September 25, 2006
KBR CAPITAL MARKETS, LLC
November 20, 2002 - September 30, 2004
LADENBURG THALMANN & CO. INC.
January 5, 2000 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 24, 1999 - January 5, 2000
SANDS BROTHERS & CO., LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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