Michael J. Barnard
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.
Michael James Barnard was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2003 - April 28, 2004
DIRECT BROKERAGE, INC.
September 24, 2002 - March 12, 2018
CAPITAL ASSET ADVISORS, INC.
February 16, 1988 - June 18, 2002
CAPITAL ASSET ADVISORS, INC.
December 16, 1986 - March 25, 1987
UBS FINANCIAL SERVICES INC.
April 15, 1986 - December 22, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
May 21, 1984 - April 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 1983 - May 29, 1984
E. F. HUTTON & COMPANY INC
February 23, 1981 - September 14, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DIRECT BROKERAGE, INC.
CRD#: 24907 / SEC#: , 8-41225
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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