Otis A. Barge
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.
Otis Alvin Barge, who also goes by Al Barge III, Otis Alvin Barge, was a registered financial professional .
Otis is a previously registered financial professional and started their career in finance in 1976. Otis had worked at 13 firms and has passed the Series 63, 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
May 7, 1992 - February 22, 1995
R.K. STEELE
July 9, 1990 - October 29, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
January 2, 1990 - May 11, 1990
WELLSHIRE SECURITIES, INC.
November 15, 1988 - July 26, 1990
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
March 3, 1987 - October 6, 1988
GRAYSTONE NASH, INC.
January 7, 1987 - February 17, 1987
MORGAN STANLEY DW INC.
June 13, 1985 - December 8, 1986
JOHNSON, LANE, SPACE, SMITH & CO., INC.
April 5, 1983 - May 30, 1985
LEHMAN BROTHERS INC.
July 23, 1980 - March 28, 1983
J.P. MORGAN SECURITIES LLC
April 18, 1978 - August 7, 1980
E. F. HUTTON & COMPANY INC
January 18, 1978 - April 13, 1978
LOEB PARTNERS
July 8, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
July 22, 1976 - January 13, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Exams
Current Firm
R.K. STEELE
CRD#: 1904 / SEC#: , 8-9668
Contact information
Documents
Red Flags
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