Barbara M. Bantivoglio
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 Marie Bantivoglio, who also goes by Barbara Middleton, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1977. Barbara had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2003 - January 3, 2017
FIG PARTNERS, LLC
October 14, 1988 - February 22, 2002
WACHOVIA SECURITIES, INC.
November 14, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
April 1, 1977 - November 13, 1984
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 8/30/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIG PARTNERS, LLC
CRD#: 41554 / SEC#: 801-79712, 8-49517
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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