Barry J. Carlin
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.
Barry Jay Carlin was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1969. Barry had worked at 12 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2004 - April 9, 2013
NATIONAL SECURITIES CORPORATION
November 26, 1996 - February 2, 2004
CONTINENTAL BROKER-DEALER CORP.
June 28, 1994 - November 11, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 9, 1991 - June 14, 1994
GRUNTAL & CO., L.L.C.
March 2, 1988 - September 13, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1978 - February 12, 1988
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
April 9, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
March 10, 1975 - April 9, 1976
WINKLER CANTOR POMBOY & CO
July 30, 1973 - April 27, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 12, 1972 - April 16, 1973
MAYNARD, MEREL & COMPANY, INC.
September 9, 1971 - September 13, 1973
BOVERS, PARNASS & TUREL, INC.
February 1, 1969 - October 10, 1971
EQUITY SERVICES, 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 10/11/1968
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
