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Detailed Report
ALONZA BARNETT JR
AL BARNETT JR
CRD#: 4577695
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200220042006200820102012201420162018IAAMERITAS INVESTMENT CORP (CRD# 14869)2010 - 2016 (6 years)IAINSTITUTIONAL CAPITAL MANAGEME... (CRD# 41055)2008 - 2010 (1 year)IASCOTT & STRINGFELLOW, INC. (CRD# 6255)2002 - 2008 (5 years)
Disclosure(s)
View By:
3/9/2017
Regulatory
Final
2/7/2017
Customer Dispute
Settled
3/15/2016
Customer Dispute
Pending
Previous Registration(s)
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 06/11/2010 - 12/31/2016 AMERITAS INVESTMENT CORP (CRD#:14869) Greensboro, NC
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 07/14/2008 - 06/07/2010 INSTITUTIONAL CAPITAL MANAGEMENT, INC. (CRD#:41055) GREENSBORO, NC
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 11/15/2002 - 02/06/2008 SCOTT & STRINGFELLOW, INC. (CRD#:6255) GREENSBORO, NC
For additional information about investment advisers or broker-dealers, please visit
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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.
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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
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.