Frederick C. Barta
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.
Frederick Carroll Barta, who also goes by Fred Barta, Frederick C Barta, Frederick Barta, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1999. Frederick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2019 - January 14, 2020
FIDELITY BROKERAGE SERVICES LLC
August 26, 2016 - April 4, 2018
EAGLE STRATEGIES LLC
June 23, 2016 - April 4, 2018
NYLIFE SECURITIES LLC
December 17, 2015 - March 1, 2016
SCOTTRADE INVESTMENT MANAGEMENT
December 16, 2015 - March 1, 2016
SCOTTRADE, INC.
May 19, 2008 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 19, 2008 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 17, 2006 - September 11, 2007
CHARLES SCHWAB & CO., INC.
June 16, 1999 - June 13, 2006
JANUS HENDERSON DISTRIBUTORS US LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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