Stuart J. Barton
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.
Stuart John Barton was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 2004. Stuart had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 17 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - October 25, 2023
INVEST IN VOL LLC
April 28, 2017 - December 19, 2018
INVEST IN VOL LLC
November 10, 2016 - February 16, 2017
FORESIDE FUND SERVICES, LLC
September 1, 2004 - June 27, 2007
BARCLAYS CAPITAL INC.
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 55
Date: 8/4/2004
Limited Representative-Equity Trader ExamSeries 17
Date: 7/12/2004
Limited Registered Representative ExaminationCurrent Firm
INVEST IN VOL LLC
CRD#: 287896 / SEC#: 801-114410
Contact information
Regulatory assets under management
| Total Number of Accounts | 123 |
| AUM (Assets Under Management) | $ 25,200,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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