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Maria I. Barton

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CRD#: 4119193
MB

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.

Maria Ingrid Yasmin Barton, who also goes by Maria Ingrid Yasmin Hidalgo, Maria Ingrid Uy, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 2003. Maria had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Maria Ingrid Yasmin Hidalgo | Maria Ingrid Uy

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

May 13, 2008 - August 16, 2016

N.B. ZOULLAS SECURITIES, INC.

BD
CRD#: 29419
NEW YORK, NY
Past

September 6, 2005 - May 13, 2008

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

September 6, 2005 - May 13, 2008

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

November 26, 2003 - September 21, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 24, 2003 - June 19, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 3/4/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam

Current Firm


NZ
N.B. ZOULLAS SECURITIES, INC.
N. B. ZOULLAS SECURITIES, INC. | N.B. ZOULLAS SECURITIES, INC.

CRD#: 29419 / SEC#: , 8-44285

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information


Main Address
One Penn Plaza Suite 2005 20th Floor, New York, NY, 10119
Mailing Address
One Penn Plaza Suite 2005 20th Floor, New York, NY, 10119
Phone number
(212) 350-5315
Established
Delaware since 10/22/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)


Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
FERNANDEZ, DIANE TRINIDADCO-PRESIDENT,CHIEF FINANCIAL OFFICER2200893
SEINFELD, LESLIE SUECO-PRESIDENT, GENERAL SECURITIES PRINCIPAL, CCO1685941

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.

Company Information


N.B. ZOULLAS SECURITIES, INC.

CRD#: 29419

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