Barbara Traugot
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 Traugot, who also goes by Barbara Wurtzel, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1970. Barbara had worked at 13 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2012 - January 23, 2014
NORTHEAST ASSET MANAGEMENT LLC
December 19, 1990 - January 23, 2014
NORTHEAST SECURITIES, LLC
June 21, 1986 - January 1, 1991
GLOBAL CAPITAL SECURITIES, INC.
April 26, 1985 - September 15, 1986
CARDELL & ASSOCIATES, INCORPORATED
February 26, 1980 - May 1, 1985
JSC SECURITIES, INC.
May 30, 1979 - February 16, 1980
ANFS, INC.
May 30, 1979 - February 1, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 5, 1979 - September 20, 1983
BERNARD HEROLD & CO., INC.
September 6, 1977 - August 10, 1978
GRUNTAL & CO., L.L.C.
December 3, 1974 - March 28, 1978
GREEN HILL FINANCIAL SERVICE CORPORATION
July 16, 1973 - October 27, 1974
BRUNS, NORDEMAN, REA & CO.
May 3, 1972 - August 5, 1973
LEYNER DRESKIN & CO
September 25, 1970 - May 27, 1972
SARTORIUS & CO.
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
Series 1
Date: 9/4/1964
Registered Representative ExaminationCurrent Firm
NORTHEAST ASSET MANAGEMENT LLC
CRD#: 117567 / SEC#: 801-71727
Contact information
Red Flags
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