Richard J. Barry
Professional summary
Richard John Barry, who also goes by Richard John Barry III, is a registered financial professional currently at BREAN CAPITAL, LLC located in Darien, Connecticut.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard John Barry's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 18, 2015 - Present
BREAN CAPITAL, LLC
Office #1: 3 Thorndal Circle Suite 200, Darien, CT 06820May 9, 2011 - March 5, 2015
KGS-ALPHA CAPITAL MARKETS, L.P.
June 22, 2009 - May 25, 2011
ALADDIN CAPITAL LLC
February 6, 2004 - January 8, 2009
PIPER SANDLER & CO.
October 26, 1998 - January 21, 2004
BROADPOINT DESCAP
October 22, 1998 - March 29, 2000
ORMES CAPITAL MARKETS, INC.
February 7, 1987 - March 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1984 - February 9, 1987
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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