Joan L. Barere
Professional summary
Joan Lund Barere was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joan is a previously registered financial advisor and started their career in finance in 2009. Prior to being barred, Joan had worked at 2 firms, which includes PEOPLE'S SECURITIES INC., DAVID LERNER ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2011 - November 20, 2012
PEOPLE'S SECURITIES, INC.
September 9, 2010 - November 20, 2012
PEOPLE'S SECURITIES, INC.
October 14, 2009 - September 14, 2010
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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