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BB

Byron B. Barkley

WILSON-DAVIS & CO.
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 12469
BB

Professional summary


Byron Bert Barkley, who also goes by Byron Bert Barkely, is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.

Byron is registered as a RR (Registered Representative) and started their career in finance in 1969. Byron has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO, Series 57TO, Series 99TO, SIE, Series 55, Series 1 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Byron Bert Barkely

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 Byron Bert Barkley's CRS (Customer Relationship Summary).
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

September 24, 1969 - Present

WILSON-DAVIS & CO., INC.

Office #1: 236 South Main, Salt Lake City, UT 84101Office #2: 236 South Main Street, Salt Lake City, UT 84101-2104
BD
CRD#: 3777
Salt Lake City, UT

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
California
(3/24/1984)
RR
Connecticut
(11/21/2023)
RR
New York
(5/25/2001)
RR
Utah
(5/23/1983)

Exams


State Security Law Exam
RR
Series 63
Date: 4/2/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/13/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 5/3/1969
Registered Representative Examination
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm


W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

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


Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)


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

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures


Regulatory Event57
Arbitration1

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


WILSON-DAVIS & CO., INC.

CRD#: 3777Salt Lake City, UT 84101

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