Barbara J. Riebe
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.
Barbara Jean Riebe, who also goes by Barbara Farrell, Barbara J. Riebe, Barbara Jean Riebe-farrell, Barbara Jean Riebefarrell, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1981. Barbara had worked at 4 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2008 - November 11, 2013
PEOPLE'S SECURITIES, INC.
June 1, 2004 - January 12, 2005
LPL FINANCIAL LLC
July 12, 2000 - June 2, 2004
WS GRIFFITH SECURITIES, INC.
January 19, 1999 - July 18, 2000
VP DISTRIBUTORS LLC
January 7, 1997 - October 14, 1998
WS GRIFFITH SECURITIES, INC.
March 15, 1993 - March 21, 1994
WS GRIFFITH SECURITIES, INC.
September 16, 1981 - March 15, 1993
VP DISTRIBUTORS LLC
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
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 |
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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