David T. Barr
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.
David Thornton Barr was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1958. David had worked at 2 firms and has passed the Series 63, Series 41, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 1984 - February 9, 2006
ADVEST, INC.
May 16, 1984 - August 2, 1984
J. S. BARR & CO., INC.
January 6, 1958 - May 4, 1984
J. S. BARR & CO., 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
Exams
Series 41
Date: 6/28/1962
NYSE Allied Member ExaminationSeries 1
Date: 1/6/1958
Registered Representative ExaminationCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
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.
