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Michael Joseph Barberian

CRD# 4344549·Registered 2001 - 2013
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Joseph Barberian was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 2001 - 2013. Michael had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

INVESTORS CAPITAL CORP.·CRD# 30613
RIA
Litchfield, NH
October 30, 2006 - April 26, 2013
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Litchfield, NH
May 10, 2006 - April 26, 2013
CITIZENS SECURITIES, INC.·CRD# 39550
RIA
Nashua, NH
October 10, 2005 - April 12, 2006
CITIZENS SECURITIES, INC.·CRD# 39550
BD
Nashua, NH
September 3, 2003 - April 12, 2006
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
May 2, 2001 - July 2, 2003

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Current Firm

IC
INVESTORS CAPITAL CORP.

INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054
BD
Terminated by SEC on 01/17/2017

Contact Information

Established

Massachusetts since 07/06/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER—
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event

22

Arbitration

11

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2005About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 2001About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2004About the Series 24 exam

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CRS (Client Relationship Summary)

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

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