Stephen W. 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.
Stephen William Barrett, who also goes by Steve Barrett, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2011 - December 17, 2025
TWG SECURITIES, INC.
September 11, 2007 - February 9, 2010
TWG SECURITIES, INC.
April 8, 1999 - September 27, 2007
AON SECURITIES LLC
July 3, 1997 - April 13, 1999
RDG SECURITIES CORPORATION
August 1, 1984 - July 11, 1997
AON SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TWG SECURITIES, INC.
CRD#: 143626 / SEC#: , 8-67585
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
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.
