Barry TooleCRD Number: 3142901
Current Firm: Pensionmark Financial Group, LLC
Barry Toole (CRD# 3142901) is an Investment Advisor Representative working at Pensionmark Financial Group, LLC in Santa Barbara, CA and has over 19 years of experience in the finance industry.
Haven Capital Group
Independent Financial Partners
Brightpath Wealth Planning, LLC
|Pfg Securities LLC||Santa Barbara, CA||Mar 2017 - Current||1|
|Capfinancial Securities, LLC||Raleigh, NC||Mar 2016 - Current||2|
|Pensionmark Financial Group, LLC||Santa Barbara, CA||Mar 2016 - Current||2|
|J.w. Cole Financial||Tampa, FL||Oct 2013 - Sep 2016||2|
|J.w. Cole Advisors, Inc.||Tampa, FL||Oct 2013 - Mar 2016||2|
|Citibank||Tampa, FL||Feb 2013 - Sep 2013||< 1|
|Unemployed||Tampa, FL||Nov 2012 - Feb 2013||< 1|
|Lpl Financial||Tampa, FL||Dec 2010 - Nov 2012||1|
|Independent Financial Partners||Tampa, FL||Dec 2010 - Nov 2012||1|
|Lpl Financial||Boston, MA||Nov 2007 - Dec 2010||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1998|
|S65||NASAA Investment Advisors Law Examination||Nov 2001|
|S66||NASAA Uniform Combined State Law Examination||Dec 2005|
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
- Employer Dispute
Total Assets Under Management9,988MILLIONS
Total Number of Accounts3,170ACCOUNTS
Average Account Value$3,150,698
- 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 pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NJ, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, WA, WI, WY
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