Individual Firm
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SCOTT MICHAEL BARTH
CRD#: 2750393
IA
B
SECURE ASSET MANAGEMENT, L.L.C.CRD#: 144046 Flower Mound, TX
AURORA SECURITIESCRD#: 46147 Flower Mound, TX
0
Disclosures
28
Years of Experience
View By:
State Registrations
B
Colorado 9/10/2024
B
Kansas 9/10/2024
B
District of Columbia 9/10/2024
B
Missouri 9/10/2024
B
Florida 9/10/2024
B
Texas 9/10/2024
B
Georgia 9/10/2024
IA
Texas 9/10/2024
B
Illinois 9/10/2024
B
Wisconsin 9/10/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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B
Registered with this firm since 9/10/2024
IA
Registered with this firm since 9/10/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/13/2012 - 09/09/2024 | Flower Mount, TX | |
B | 08/13/2012 - 09/09/2024 | SAN DIEGO, CA | |
IA | 12/04/2007 - 08/06/2012 | JANESVILLE, WI | |
B | 12/04/2007 - 08/06/2012 | JANESVILLE, WI | |
B | 12/06/2002 - 11/30/2007 | JANESVILLE, WI | |
B | 06/13/2001 - 10/16/2002 | MINNEAPOLIS, MN | |
B | 09/19/2000 - 06/19/2001 | NEW YORK, NY | |
B | 09/24/1996 - 07/06/2000 | SPRINGFIELD, MA | |
B | 09/24/1996 - 07/06/2000 | NEW YORK, NY |
JANESVILLE, WI
12/06/2002 - 11/30/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.