John 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.
John Wilke Barrett, who also goes by John W Barrett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1972. John had worked at 17 firms and has passed the Series 63, Series 5, Series 000, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 1995 - November 1, 1995
SPECTRUM SECURITIES, INC.
February 25, 1992 - February 2, 1993
CYPRESS CAPITAL CORPORATION
February 13, 1989 - January 24, 1992
YAEGER SECURITIES, INC.
March 11, 1988 - January 4, 1989
GILFORD SECURITIES INCORPORATED
September 10, 1987 - February 2, 1988
LOS ANGELES SECURITIES
June 18, 1987 - October 9, 1987
FIRST AFFILIATED SECURITIES, INC.
December 4, 1986 - June 9, 1987
MCKEWON & TIMMINS
March 5, 1986 - November 19, 1986
GRUBB & ELLIS SECURITIES COMPANY
February 11, 1985 - February 5, 1986
JEFFERIES LLC
July 18, 1984 - January 22, 1985
CRALIN & CO., INC.
May 30, 1980 - November 5, 1982
CIBC WORLD MARKETS CORP.
July 10, 1979 - June 11, 1980
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
November 30, 1978 - August 18, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 29, 1978 - February 20, 1979
LOEB PARTNERS
November 4, 1976 - July 17, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 19, 1972 - September 18, 1984
BECKER PARIBAS INCORPORATED
September 8, 1972 - December 3, 1976
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 000
Date: 10/19/1972
General Securities Principal ExaminationSeries 1
Date: 8/28/1972
Registered Representative ExaminationSeries 40
Date: 1/31/1977
Registered Principal ExaminationCurrent Firm
SPECTRUM SECURITIES, INC.
CRD#: 29305 / SEC#: , 8-44217
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
