Paul T. Barbera
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.
Paul Thomas Barbera was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1977. Paul had worked at 13 firms and has passed the Series 66, SIE, Series 31, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2017 - October 26, 2018
CABRERA CAPITAL MARKETS, LLC
September 11, 2012 - December 31, 2016
LEBENTHAL ASSET MANAGEMENT, LLC
September 11, 2012 - July 13, 2017
LEBENTHAL & CO., LLC
January 1, 2008 - September 28, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 28, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 1, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 1, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 20, 2002 - December 4, 2006
MORGAN STANLEY DW INC.
April 17, 1999 - December 4, 2006
MORGAN STANLEY DW INC.
July 25, 1996 - October 30, 1998
CAMBRIDGE PARTNERS, L.L.C.
May 31, 1995 - January 5, 1996
GLICKENHAUS & CO.
March 8, 1993 - December 30, 1994
TUCKER ANTHONY INCORPORATED
February 23, 1990 - February 22, 1993
PERSHING LLC
July 1, 1980 - February 6, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
June 21, 1978 - March 15, 1980
HERBERT J. SIMS & CO, INC.
June 1, 1977 - July 2, 1978
THOMSON MCKINNON SECURITIES INC.
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
PC
Date: 7/3/1980
AMEX Put and Call ExamCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
