Brian T. Barrett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Thomas Barrett was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 7 firms and has passed the SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2017 - July 14, 2026
LPS CAPITAL LLC
June 1, 2012 - March 15, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
January 24, 2007 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
September 24, 1990 - January 11, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
February 22, 1988 - July 24, 1990
CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.
July 25, 1987 - May 26, 1988
MERRILL LYNCH GOVERNMENT SECURITIES INC.
January 27, 1983 - March 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPS PARTNERS LLC | OWNER | |
| TARLETON, JOHN WILLIAM | PRESIDENT, CCO, FINOP | 1631047 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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