Barbara A. Rosenfelt
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.
Barbara Ann Rosenfelt was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1967. Barbara had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 1993 - May 30, 2018
LOEB PARTNERS CORPORATION
March 7, 1991 - September 20, 1993
GOLDSMITH & HARRIS INCORPORATED
September 4, 1990 - October 4, 1990
WELLS FARGO CLEARING SERVICES, LLC
August 7, 1979 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
July 8, 1974 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
November 2, 1967 - December 4, 1977
LOEB, RHOADES & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 10/27/1967
Registered Representative ExaminationSeries 40
Date: 1/29/1976
Registered Principal ExaminationCurrent Firm
LOEB PARTNERS CORPORATION
CRD#: 10929 / SEC#: 801-39571, 8-28004
Contact information
Disclosures
| Regulatory Event | 3 |
| Bond | 1 |
Red Flags
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