John J. Barada
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.
John J Barada, who also goes by John James Barada III, John James Barada, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 13 firms and has passed the SIE, Series 1, Series 51 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
August 18, 2022 - September 14, 2022
PARK AVENUE INVESTMENT ADVISORY, LLC
January 4, 2017 - April 19, 2017
BROOKSTONE CAPITAL MANAGEMENT LLC
January 7, 2011 - May 31, 2016
SII INVESTMENTS, INC.
January 7, 2011 - May 31, 2016
SII INVESTMENTS, INC.
May 5, 2005 - December 31, 2010
WOODBURY FINANCIAL SERVICES, INC.
May 5, 2005 - December 31, 2010
WOODBURY FINANCIAL SERVICES, INC.
April 15, 2002 - April 20, 2005
PRINCIPAL SECURITIES, INC.
February 28, 2002 - April 20, 2005
PRINCIPAL SECURITIES, INC.
October 9, 1998 - February 25, 2002
NEW ENGLAND SECURITIES
December 5, 1994 - October 1, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 5, 1994 - October 1, 1998
OSAIC FA, INC.
May 4, 1990 - December 1, 1994
THE O.N. EQUITY SALES COMPANY
July 28, 1987 - January 25, 1989
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 12, 1983 - May 1, 1990
AMERICAN UNITED LIFE INSURANCE COMPANY
August 11, 1978 - September 21, 1983
FSC SECURITIES CORPORATION
January 14, 1975 - January 31, 1979
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
PARK AVENUE INVESTMENT ADVISORY, LLC
CRD#: 310203 / SEC#: 801-119560
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 1
Date: 1/9/1975
Registered Representative ExaminationCurrent Firm
PARK AVENUE INVESTMENT ADVISORY, LLC
CRD#: 310203 / SEC#: 801-119560
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 98,287,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2022 |
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.
