Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Joseph Barta is a financial advisor currently registered with LPL Financial LLC. Michael has been active in the financial industry since June 18, 1987. Michael has a long history in the financial industry, having held various positions at firms such as BANC OF AMERICA INVESTMENT SERVICES, INC., TD WATERHOUSE INVESTOR SERVICES, INC., and KENNEDY, CABOT & CO. Michael holds multiple securities licenses, including Series 7, Series 24, Series 53, and Series 63. Michael is also a Registered Investment Advisor and holds the Series 65 license.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
01/08/2014 - Present
LPL Financial LLC (CARDIFF-BY-THE-SEA CA)
CA
11/29/2005 - 10/09/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (RIVERSIDE CA)
NE
11/07/1997 - 11/21/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
CA
04/20/1989 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NA
06/20/1988 - 03/13/1989
TALLEY, MCNEIL & TORMEY, INC.
NA
02/26/1987 - 06/13/1988
KOMINZ COMPANY SECURITIES, INC.
IA
Issued 04/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/26/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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