SB
Samuel E. Barber
LIFEMARK SECURITIES
Naugatuck, CT 06770
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CRD#: 4750380
SB
Professional summary
Samuel E Barber is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Naugatuck, Connecticut.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Samuel has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CHITTENDEN-WARWICK INSURANCE GROUP, INV.RELATED, 1087 Federal Rd. STE 9, Brookfield, CT 06804, INSURANCE SALES AND SERVICE FOR VARIOUS CARRIERS, POSITION:AGENT/BROKER, BEGAN 04/2017, 20 HRS MONTH, 10 HRS MONTH DURING TRADING HRS, DUTIES: SALES & SERVICE OF INSURANCE AND GROUP BENEFITS PRODUCTS FOR VARIOUS CARRIERS / CHITTENDEN FINANCIAL SERVICES,DBA,327 Church St. Naugatuck, CT 06770, INVESTMENT RELATED, USE THIS DBA IN SALES OF SECURITIES PRODUCTS THROUGH LIFEMARK
CRS (Client Relationship Summary) - RIA
Click below to view Samuel E Barber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel E Barber's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2017 - Present
LIFEMARK SECURITIES CORP.
Office #1: 327 Church Street, Naugatuck, CT 06770RIA
BD
CRD#: 16204
Naugatuck, CT
Current
May 12, 2017 - Present
LIFEMARK SECURITIES CORP.
Office #1: 327 Church Street, Naugatuck, CT 06770RIA
BD
CRD#: 16204
Naugatuck, CT
Past
November 23, 2010 - April 4, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NORWALK, CT
Past
August 10, 2009 - April 4, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NORWALK, CT
Past
March 26, 2009 - April 24, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
JERSEY CITY, NJ
Past
May 6, 2008 - April 24, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
JERSEY CITY, NJ
Past
August 16, 2005 - May 7, 2008
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
April 5, 2004 - August 17, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(5/24/2017)
IAR
Connecticut(5/24/2017)
RR
Florida(2/20/2019)
RR
Maine(4/9/2020)
RR
New Jersey(6/9/2017)
RR
New York(5/26/2017)
RR
North Carolina(5/17/2019)
RR
Pennsylvania(11/20/2024)
IAR
Texas(11/20/2024)
RR
Texas(12/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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
LIFEMARK SECURITIES CORP.
CRD#: 16204Naugatuck, CT 06770TRUST BUT VERIFY
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