Barbara M. Amezquita
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 Maria Amezquita, who also goes by Barbara Maria Ablaza, Barbara Ablaza, Barbara Amezquita, Barbara Maria Monroe, Barbara Maria Poullard, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2007. Barbara had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2014 - April 8, 2015
SECURITIES SERVICE NETWORK, LLC
May 18, 2012 - August 27, 2014
UBS FINANCIAL SERVICES INC.
May 17, 2012 - August 27, 2014
UBS FINANCIAL SERVICES INC.
October 14, 2011 - April 30, 2012
RAYMOND JAMES & ASSOCIATES, INC.
October 14, 2011 - April 30, 2012
RAYMOND JAMES & ASSOCIATES, INC.
March 16, 2010 - October 10, 2011
UBS FINANCIAL SERVICES INC.
March 16, 2010 - October 10, 2011
UBS FINANCIAL SERVICES INC.
June 1, 2009 - December 15, 2009
MORGAN STANLEY
June 1, 2009 - December 15, 2009
MORGAN STANLEY
February 1, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 1, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 4, 2007 - September 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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.
