Barbara TrombleyCRD Number: 5611841
Current Firm: First Allied Advisory Services, Inc.
Barbara Trombley (CRD# 5611841) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Wilbraham, MA and has over 7 years of experience in the finance industry.
Garrett Investment Advisors, LLC
Cambridge Investment Research Advisors, Inc.
Ameriprise Financial Services, Inc.
|First Allied Advisory Services, Inc.||Wilbraham, MA||Jul 2011 - Current||5|
|First Allied Securities, Inc.||San Diego, CA||Apr 2009 - Current||7|
|Ray Trombley Associates||Wilbraham, MA||Apr 2009 - Current||7|
|Homemaker||Fort Meyers, FL||Jan 1999 - Apr 2009||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2009|
|S65||NASAA Investment Advisors Law Examination||Jul 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management4,440MILLIONS
Total Number of Accounts26,339ACCOUNTS
Average Account Value$168,585
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV