Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Diane Halpern is a financial professional with over 30 years of experience in the industry. Barbara is currently registered with Richard James & Associates, Inc. and Greenwich Capital Partners, LLC. Barbara has held previous registrations with several other firms, including APIFINY PRIME INC., COVA CAPITAL PARTNERS LLC, and GREENWICH ENERGY CAPITAL ADVISORS. Barbara has experience in the securities industry and holds Series 27, F04, Series 54FN, SIE, and Series 99TO licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
10/19/2022 - Present
Richard James & Associates, Inc. (Syosett NY)
NY
10/27/2021 - 01/03/2023
APIFINY PRIME INC. (NEW YORK NY)
NY
05/29/2020 - 10/07/2022
RICHARD JAMES & ASSOCIATES, INC. (SYOSSET NY)
NY
12/26/2019 - 05/11/2022
COVA CAPITAL PARTNERS LLC (SYOSSET NY)
NY
08/03/2021 - 10/21/2021
APIFINY PRIME INC. (NEW YORK NY)
CT
02/14/2018 - 07/10/2018
GREENWICH ENERGY CAPITAL ADVISORS (GREENWICH CT)
CT
09/20/2013 - 04/20/2016
GREENWICH ENERGY CAPITAL ADVISORS (GREENWICH CT)
NY
01/16/2013 - 03/31/2016
BMI CAPITAL INTERNATIONAL LLC (NEW YORK NY)
NY
03/31/2014 - 02/05/2016
DAVIS SECURITIES LLC (NEW YORK NY)
NY
07/08/2014 - 01/28/2016
RICHARD JAMES & ASSOCIATES, INC. (SYOSSET NY)
NY
10/23/2007 - 09/18/2015
J.D. NICHOLAS & ASSOCIATES, INC. (SYOSSET NY)
NY
07/01/2009 - 08/07/2015
SAWAYA SEGALAS SECURITIES, LLC (NEW YORK NY)
VA
12/09/2010 - 06/10/2014
HAMPTON HEDGE FUND MARKETING, LLC (OAKTON VA)
CT
10/22/2010 - 08/01/2011
WESTBURY GROUP LLC (WESTPORT CT)
FL
11/07/2006 - 08/26/2009
CGI MERCHANT CAPITAL, LLC (MIAMI FL)
CT
10/25/2007 - 08/29/2008
CRONUS PARTNERS LLC (SOUTHPORT CT)
NY
01/25/2008 - 06/04/2008
EVOLUTION MARKETS FINANCIAL SERVICES LLC (WHITE PLAINS NY)
CT
01/01/1989 - 03/20/2006
W. T. CABE & COMPANY, INC. (WESTPORT CT)
NY
12/02/2005 - 02/23/2006
EQUITIES TRADING CORP. (NEW YORK NY)
IL
01/26/1999 - 09/01/2005
SUNGARD INSTITUTIONAL BROKERAGE INC. (GENEVA IL)
CT
11/06/1990 - 12/10/1998
BCP INC. (GREENWICH CT)
NY
12/13/1995 - 09/29/1998
J.P.R. CAPITAL CORP. (SYOSSET NY)
NA
03/05/1990 - 06/06/1998
SUNGARD INSTITUTIONAL BROKERAGE INC.
NY
05/13/1988 - 08/25/1997
SFI INVESTMENTS, INC. (NEW YORK NY)
NA
12/03/1992 - 11/02/1993
IRC INVESTMENTS INC.
NA
08/03/1989 - 12/04/1990
INTEGRATED ASSETS GROUP, INC.
NY
03/22/1988 - 03/22/1990
TULLETT & TOKYO SECURITIES, INC. (NEW YORK NY)
NA
12/07/1989 - 02/17/1990
CASTLETON-RHODES INC.
NA
09/01/1988 - 09/28/1989
ROBYNS CAPITAL CORP.
NY
10/28/1987 - 01/01/1989
EQUITIES TRADING CORP. (NEW YORK NY)
NA
10/18/1986 - 01/28/1987
AMFCO SECURITIES, INC.
NA
08/25/1982 - 01/28/1985
AMFCO SECURITIES, INC.
NA
07/15/1980 - 04/05/1982
EMANUEL AND COMPANY
BC
Issued 08/20/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/16/1980
F04 - Financial Principal Examination
BC
Issued 06/26/1980
Series 54FN - Municipal Securities Financial and Operations Principal Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
Active
Inactive
F
FINRA
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