Peter E. Barbera

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CRD#: 838375

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.

Peter Eugene Barbera was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1977. Peter had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 9, 2007 - April 4, 2019

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

June 18, 1998 - May 29, 2007

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

HOBOKEN, NJ

Past

October 10, 1997 - June 30, 1998

DOUGLAS JAMES SECURITIES, INC.

CRD#: 29492

POMPANO BEACH, FL

Past

October 11, 1992 - May 7, 1996

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 9, 1992 - September 9, 1992

DOUGLAS JAMES SECURITIES, INC.

CRD#: 29492

POMPANO BEACH, FL

Past

June 17, 1991 - September 9, 1992

ASCH-DWYER MUNICIPAL SECURITIES, L.P.

CRD#: 24464

PEAPACK, NJ

Past

April 30, 1991 - June 6, 1991

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

February 27, 1990 - April 30, 1991

MABON, NUGENT & CO.

CRD#: 2617

Past

May 25, 1988 - December 14, 1989

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

SEATTLE, WA

Past

January 10, 1985 - May 11, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 19, 1983 - December 17, 1984

TRANSGULF MUNICIPAL SECURITIES CORP.

CRD#: 14492

Past

August 22, 1983 - September 28, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

August 9, 1982 - August 18, 1983

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

July 22, 1980 - July 6, 1982

HSBC BROKERAGE (USA) INC.

CRD#: 6956

Past

May 26, 1978 - August 8, 1980

HERBERT J. SIMS & CO, INC.

CRD#: 3420

Past

June 1, 1977 - June 25, 1978

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/16/1982

Municipal Securities Principal Examination

Current Firm

GMS GROUP

CRD#: 8000 / SEC#: 801-126662, 8-23936

RIA

Registered Investment Advisory firm - SEC (11/22/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (1/8/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Mailing Address

120 Eagle Rock Ave Suite 300, East Hanover, NJ 07936

Phone number

(973) 535-5000

Established

Delaware since 03/05/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THE GMS GROUP DISCLOSURE BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
GMS GROUP HOLDINGS CORP	MEMBER
CAPONE, CARMINE CLAUDIO	EXECUTIVE VICE PRESIDENT/DIRECTOR	1124455
DEMBOWSKI, DANIELLE DENISE	CHIEF FINANCIAL OFFICER	5855269
DONOHUE, TIMOTHY JOSEPH	SROP/CROP/DIRECTOR/CHIEF COMPLIANCE OFFICER/COO	725373
DONOHUE, TIMOTHY JOSEPH	PRESIDENT	725373
ESTANISLAO, LEONARDO	CHIEF INFORMATION OFFICER/SENIOR VICE PRESIDENT/DIRECTOR	4622553
FELDMAN, JUSTYN SETH	SENIOR VICE PRESIDENT - DIRECTOR	2283535
FELDMAN, MELVIN	DIRECTOR, SR VICE PRESIDENT	205924
KONSIG, PAUL ROBERT	CEO	500443
KONSIG, PAUL ROBERT	DIRECTOR	500443
KOROSTOFF, DAVID BRUCE	DIRECTOR, SR. VICE PRESIDENT	1205712
LENZI, JEFFREY PAUL	SENIOR VICE PRESIDENT/DIRECTOR	2452390
LIPMAN, MATTHEW ERIC	SECRETARY	2367335
MANTE, PAUL DAVID	SENIOR VICE PRESIDENT - DIRECTOR	4911949
MCKENNA, MICHAEL JAMES	EXECUTIVE VICE PRESIDENT	1524460
PRICE, BARBARA BENEDICT	DIRECTOR, SR. VICE PRESIDENT	17944
VESSELS, STEPHEN GLENN	SENIOR VICE PRESIDENT/DIRECTOR	2403660

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 13,887,060

Disclosures

Regulatory Event	7
Arbitration	10

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.

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Firm Stability Insights

Peter E. Barbera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RICE FINANCIAL PRODUCTS COMPANY

DOUGLAS JAMES SECURITIES, INC.

ALEX. BROWN & SONS INCORPORATED

DOUGLAS JAMES SECURITIES, INC.

ASCH-DWYER MUNICIPAL SECURITIES, L.P.

INTESA SANPAOLO IMI SECURITIES CORP.

MABON, NUGENT & CO.

SEATTLE-NORTHWEST SECURITIES CORPORATION

LEHMAN BROTHERS INC.

TRANSGULF MUNICIPAL SECURITIES CORP.

BECKER PARIBAS INCORPORATED

CIBC WORLD MARKETS CORP.

HSBC BROKERAGE (USA) INC.

HERBERT J. SIMS & CO, INC.

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

GMS GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1977

Series 53

Date: 2/16/1982

Current Firm

GMS GROUP

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GMS GROUP

TRUST BUT VERIFY

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