Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Barber is a financial advisor who has been in the industry since September 11, 2002. Richard is currently registered with Glendale Securities, Inc. and Wilson-Davis & CO., Inc.. Richard has worked with a number of firms throughout their career. Richard has passed multiple industry exams, including Series 6, 7, 24, 26, 27, 55, 63, 8 and 14. Richard has been active as a financial advisor for over 20 years.
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
CA
07/02/2024 - Present
Glendale Securities, Inc. (SHERMAN OAKS CA)
TX
01/05/2006 - 10/04/2011
PENSON FINANCIAL SERVICES, INC. (DALLAS TX)
CA
02/12/2002 - 12/31/2005
COMPUTER CLEARING SERVICES INC (GLENDALE CA)
CA
01/09/2003 - 11/01/2005
GLENDALE SECURITIES, INC. (SHERMAN OAKS CA)
CA
04/14/2000 - 05/17/2002
WHITE PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
CA
11/18/1998 - 05/10/2002
ACUMENT SECURITIES, INC. (SAN FRANCISCO CA)
CA
10/31/2000 - 07/12/2001
CAPITAL INVESTMENT EXCHANGE, INC. (SAN FRANCISCO CA)
CA
06/05/1995 - 02/11/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
08/03/1994 - 05/01/1995
GKN SECURITIES CORP. (NEW YORK NY)
NY
11/15/1993 - 06/15/1994
SCOTIAMCLEOD (USA) INC. (NEW YORK NY)
NY
05/07/1990 - 02/05/1993
GAM SERVICES, INC. (NEW YORK NY)
BC
Issued 05/02/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2022
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/28/2002
Series 24 - General Securities Principal Examination
BC
Issued 12/25/1993
Series 14 - Compliance Officer Examination
BC
Issued 11/23/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/22/1990
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 04/05/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/10/1993
Series 7 - General Securities Representative Examination
BC
Issued 02/21/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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