Mario A. Barboza
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.
Mario Alphonso Barboza was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 2000. Mario had worked at 5 firms and has passed the Series 66, Series 63, 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 1, 2014 - December 31, 2018
GLOBAL PORTFOLIO STRATEGIES, INC.
August 7, 2013 - April 5, 2019
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 29, 2010 - August 17, 2011
MML INVESTORS SERVICES, LLC
June 23, 2010 - July 21, 2010
MSI FINANCIAL SERVICES, INC.
February 14, 2006 - July 16, 2007
MML INVESTORS SERVICES, LLC
February 9, 2006 - July 16, 2007
MML INVESTORS SERVICES, LLC
April 24, 2003 - October 11, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 20, 2000 - October 11, 2004
PRUDENTIAL RETIREMENT BROKERAGE 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
Current Firm
GLOBAL PORTFOLIO STRATEGIES, INC.
CRD#: 105812 / SEC#: 801-16664
Contact information
Regulatory assets under management
| Total Number of Accounts | 285 |
| AUM (Assets Under Management) | $ 1,695,414,336 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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