Barry D. Ross
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.
Barry David Ross, who also goes by Barry D Ross, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1976. Barry had worked at 6 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 1995 - March 22, 2012
OMNIVEST, INC.
September 4, 1990 - December 13, 1994
TRUSTAMERICA SECURITIES COMPANY
October 20, 1987 - September 21, 1990
L T SECURITIES, INC.
July 19, 1985 - October 13, 1987
E. F. HUTTON & COMPANY INC
December 21, 1984 - November 5, 1985
WALL STREET WEST, INC.
May 19, 1976 - January 15, 1985
NEW ENGLAND SECURITIES
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: 5/14/1976
Registered Representative ExaminationCurrent Firm
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
