Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RICHARD FRANCIS BARBERI
RICH F BARBERI, RICHARD F BARBERI, RICHARD BARBERI
CRD#: 6122910
IA
Investment Adviser
B
Broker
PNC INVESTMENTSCRD#: 129052 200 FORSGATE DRIVE
MONROE TWP., NJ 08831
Registration History
20142016201820202022202420262 FIRMS2013 - 2017 (4 years)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
Connecticut 8/4/2021
B
New York 2/23/2018
B
District of Columbia 8/17/2023
B
North Carolina 5/29/2024
B
Florida 3/16/2018
B
South Carolina 9/9/2022
B
New Jersey 2/23/2018
B
Tennessee 2/2/2022
IA
New Jersey 2/23/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PNC INVESTMENTS (CRD#:129052)
200 FORSGATE DRIVE, MONROE TWP., NJ 08831
331 NORTH COUNTY LINE, JACKSON, NJ 08527
Registered with this firm since 2/23/2018
B
PNC INVESTMENTS (CRD#:129052)
200 FORSGATE DRIVE, MONROE TWP., NJ 08831
331 NORTH COUNTY LINE, JACKSON, NJ 08527
Registered with this firm since 2/23/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/24/2017 - 02/14/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BRICK, NJ
B
 05/23/2017 - 02/14/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BRICK, NJ
IA
 07/24/2013 - 04/28/2017 PNC INVESTMENTS (CRD#:129052) MANCHESTER TOWNSHIP, NJ
B
 01/25/2013 - 04/28/2017 PNC INVESTMENTS (CRD#:129052) MANCHESTER TOWNSHIP, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.