Bari A. Latterman
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.
Bari Ann Latterman was a registered financial professional .
Bari is a previously registered financial professional and started their career in finance in 2002. Bari had worked at 14 firms and has passed the Series 79TO, Series 99TO, 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
August 23, 2022 - April 4, 2024
PHX FINANCIAL, INC.
May 16, 2022 - August 15, 2022
AEGIS CAPITAL CORP.
August 10, 2020 - May 25, 2022
DAWSON JAMES SECURITIES, INC.
April 21, 2014 - January 17, 2020
ALEXANDER CAPITAL, L.P.
September 30, 2013 - April 9, 2014
SPARTAN CAPITAL SECURITIES, LLC
August 21, 2013 - October 1, 2013
IAA FINANCIAL LLC
June 19, 2013 - July 8, 2013
PORTFOLIO ADVISORS ALLIANCE, LLC
May 21, 2008 - June 19, 2013
JOHN THOMAS FINANCIAL
March 7, 2008 - May 22, 2008
LEHMAN BROTHERS INC.
April 18, 2007 - May 22, 2008
LEHMAN BROTHERS INC.
February 8, 2006 - April 16, 2007
NEWBRIDGE SECURITIES CORPORATION
January 12, 2005 - January 31, 2006
SECURITIES SERVICE NETWORK, LLC
August 8, 2003 - December 31, 2004
CANTELLA & CO., INC.
November 20, 2002 - May 30, 2003
LADENBURG THALMANN & CO. INC.
May 16, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
