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RB

Ralph S. Barbieri

MERGER & ACQUISITION CAPITAL SERVICES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6919021
RB

Professional summary

Ralph Scott Barbieri is a registered financial professional currently at MERGER & ACQUISITION CAPITAL SERVICES, LLC located in New York, New York.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 2018. Ralph has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Scott Barbieri'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®
None

Experience

Current

March 27, 2018 - Present

MERGER & ACQUISITION CAPITAL SERVICES, LLC

Office #1: 320 East 53rd Street, New York, NY 10022Office #2: 320 East 53rd Street, New York, NY 10022
BD
CRD#: 135113
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(10/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/7/2018
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/27/2018
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MERGER & ACQUISITION CAPITAL SERVICES, LLC
BROADWAY FINANCIAL GROUP, INC. | MERGER & ACQUISITION CAPITAL SERVICES, LLC | MERGER & ACQUISITION CAPITAL SERVICES, INC.

CRD#: 135113 / SEC#: , 8-66892

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
320 East 53rd Street, New York, NY 10022
Mailing Address
320 East 53rd Street, New York, NY 10022
Phone number
(212) 750-0630
Established
New York since 12/23/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
M&A INTERNATIONAL, LTDDIRECT OWNER
BARBIERI, RALPH SCOTTFINOP - CEO6919021
DIFIORE, MONICA LISACCO2966552

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

MERGER & ACQUISITION CAPITAL SERVICES, LLC

CRD#: 135113New York, NY 10022

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