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SB

Stephen W. Barrett

TWG SECURITIES
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 1227647
SB

Professional summary

Stephen William Barrett, who also goes by Steve Barrett, is a registered financial professional currently at TWG SECURITIES, INC. located in Chicago, Illinois.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Barrett

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen William Barrett's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 23, 2011 - Present

TWG SECURITIES, INC.

Office #1: 175 W. Jackson Blvd. Suite 810, Chicago, IL 60604
BD
CRD#: 143626
Chicago, IL
Past

September 11, 2007 - February 9, 2010

TWG SECURITIES, INC.

BD
CRD#: 143626
CHICAGO, IL
Past

April 8, 1999 - September 27, 2007

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

July 3, 1997 - April 13, 1999

RDG SECURITIES CORPORATION

BD
CRD#: 42319
ROLLING MEADOWS, IL
Past

August 1, 1984 - July 11, 1997

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/11/2012)
RR
Illinois
(12/23/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 2/10/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/15/1985
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TWG SECURITIES, INC.
TWG SECURITIES, INC.

CRD#: 143626 / SEC#: , 8-67585

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
175 W. Jackson Blvd. Suite 810, Chicago, IL 60604
Mailing Address
175 W Jackson Blvd. Suite 810, Chicago, IL 60604
Phone number
(312) 356-3000
Established
Delaware since 02/27/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TWG HOLDINGS, INC.100% OWNER
BEHLES, CRYSTAL GAYLEVICE PRESIDENT, SECRETARY5359774
BROWN, SCOTTFINOP, PRINCIPAL FINANCIAL OFFICER6694802
PARROTT, MICHAEL DANETREASURER6036805
WILSON, KORTNEY ROSSPRESIDENT, CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER5153931

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TWG SECURITIES, INC.

CRD#: 143626Chicago, IL 60604

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