Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara McCormick is a financial professional with over 35 years of experience in the industry. Barbara is currently registered with RBC Capital Markets, LLC and has previously held positions at Piper Jaffray & Co., Norwest Investment Services, Inc., Miller, Johnson & Kuehn, Incorporated, Juran & Moody, Inc., Collateral Financial Brokerage, Inc., and Bankers Systems Brokerage Services, Inc. Barbara is a Series 7, Series 24, Series 63, Series 99TO and SIE licensed professional. Barbara specializes in providing portfolio management services to individuals, corporations, and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
09/12/2007 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
02/14/2001 - 09/22/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
MN
10/17/1997 - 04/05/2000
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
MN
01/03/1997 - 09/26/1997
MILLER, JOHNSON & KUEHN, INCORPORATED (MINNEAPOLIS MN)
MN
01/28/1993 - 01/03/1997
JURAN & MOODY, INC. (ST. PAUL MN)
NY
05/31/1989 - 03/24/1992
COLLATERAL FINANCIAL BROKERAGE, INC. (NEW YORK NY)
MN
03/20/1985 - 04/11/1989
BANKERS SYSTEMS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
BC
Issued 04/04/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/1987
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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