James M. Barry
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.
James Michael Barry, who also goes by James M Barry, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 34, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2015 - May 31, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
July 9, 2010 - January 12, 2015
E*TRADE SECURITIES LLC
August 21, 2007 - May 28, 2010
OPTIONSHOUSE1, LLC
April 17, 2007 - May 30, 2007
UBS SECURITIES LLC
January 24, 2005 - May 30, 2007
UBS CLEARING SERVICES CORPORATION
January 2, 1997 - March 15, 2006
ABN AMRO INCORPORATED
October 20, 1995 - January 2, 1997
THE CHICAGO CORPORATION
August 17, 1994 - October 23, 1995
UBS FINANCIAL SERVICES INC.
June 17, 1992 - June 6, 1994
THE CHICAGO CORPORATION
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
Series 55
Date: 3/27/2002
Limited Representative-Equity Trader ExamCurrent Firm
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
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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