Richard C. 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.
Richard Charles Barrett JR, who also goes by Rick Barrett, Richard Charles Bastheim Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1965. Richard had worked at 14 firms and has passed the Series 63, Series 5, Series 000, 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
January 4, 2007 - October 14, 2009
NATIONAL SECURITIES CORPORATION
April 26, 2005 - February 5, 2007
THE CONCORD EQUITY GROUP, LLC
May 27, 1999 - April 29, 2005
FIRST MONTAUK SECURITIES CORP.
May 12, 1998 - May 19, 1999
THE CONCORD EQUITY GROUP, LLC
November 3, 1997 - July 1, 1998
J. ROBBINS SECURITIES, L.L.C
April 5, 1995 - September 29, 1997
FAB SECURITIES OF AMERICA, INC.
May 5, 1992 - April 1, 1995
DICKINSON & CO.
September 30, 1989 - May 29, 1992
ADVEST, INC.
June 20, 1989 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
August 22, 1986 - June 9, 1989
WEDBUSH SECURITIES INC.
February 5, 1981 - July 22, 1986
SUTRO & CO. INCORPORATED
March 22, 1978 - November 19, 1983
LEHMAN BROTHERS INC.
July 15, 1976 - March 29, 1978
SUTRO & CO. INCORPORATED
June 25, 1976 - August 30, 1976
BACHE HALSEY STUART INC.
November 7, 1974 - June 25, 1976
BACHE & CO INCORPORATED
September 1, 1965 - July 6, 1975
SHEARSON, HAMMILL & CO., 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: 10/9/1981
Interest Rate Options ExaminationSeries 000
Date: 8/30/1965
General Securities Principal ExaminationSeries 1
Date: 8/30/1965
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
