Charles Barba
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.
Charles Barba was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 31 firms and has passed the Series 63, Series 55, 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
December 12, 2012 - June 21, 2013
BLACKBOOK CAPITAL, LLC
September 25, 2012 - October 22, 2012
LAIDLAW & COMPANY (UK) LTD.
July 20, 2011 - October 12, 2012
EKN FINANCIAL SERVICES INC.
October 31, 2008 - October 21, 2010
NEWPORT COAST SECURITIES, INC.
October 30, 2003 - October 27, 2008
BASIC INVESTORS INC.
September 3, 2002 - March 12, 2003
GIT SECURITIES CORPORATION
August 28, 2002 - September 4, 2002
VFINANCE INVESTMENTS, INC
March 30, 2001 - August 9, 2001
BENSON YORK GROUP, INC.
November 22, 2000 - February 23, 2001
SCHONFELD SECURITIES, LLC
November 30, 1999 - November 13, 2000
NORTHRIDGE CAPITAL CORPORATION
July 29, 1999 - November 18, 1999
AMERICAN FIRST CAPITAL CORP.
July 14, 1998 - July 1, 1999
THE MINNEAPOLIS COMPANY, INC.
June 18, 1992 - July 17, 1998
COLIN WINTHROP & CO., INC.
April 16, 1992 - June 17, 1992
A.J. MICHAELS & CO., LTD.
September 11, 1991 - May 7, 1992
FIRST INDEPENDENCE GROUP INC.
November 9, 1990 - September 9, 1991
M. RIMSON & CO., INC.
September 12, 1989 - December 11, 1990
FIRST INDEPENDENCE GROUP INC.
June 29, 1989 - September 12, 1989
TAMARON INVESTMENTS, INC.
February 22, 1989 - June 28, 1989
STRATTON OAKMONT INC.
November 23, 1988 - February 25, 1989
INVESTORS CENTER, INC.
May 25, 1988 - November 23, 1988
KIRLIN SECURITIES INC.
February 3, 1988 - June 3, 1988
SUNRISE CAPITAL CORP.
September 10, 1986 - December 1, 1987
MARGATE SECURITIES, INC.
July 29, 1986 - July 23, 1987
UNIVERSAL SECURITIES OF AMERICA, INC.
January 28, 1986 - July 7, 1986
THE STUART-JAMES COMPANY, INCORPORATED
June 17, 1985 - December 7, 1988
JOSEPHTHAL & CO., INC.
November 20, 1984 - May 20, 1985
EQUITABLE SECURITIES OF NEW YORK,INC.
October 26, 1984 - October 25, 1985
FIRST BOCA SECURITIES, INC.
March 14, 1984 - October 10, 1984
CITIWIDE SECURITIES CORP.
June 8, 1983 - November 19, 1983
MARSAN SECURITIES CO., INC.
June 15, 1982 - May 31, 1983
SOUTHEAST SECURITIES OF FLORIDA, INC.
June 23, 1981 - October 30, 1981
BLINDER, ROBINSON & CO., 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: 11/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
