Richard L. 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 Lee Barrett, who also goes by Rick Barrett, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 14 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2008 - February 4, 2013
UHLMANN PRICE SECURITIES, LLC
September 30, 2003 - June 29, 2006
UHLMANN PRICE SECURITIES, LLC
August 9, 2002 - January 31, 2003
POLAR INVESTMENT COUNSEL, INC.
April 3, 1996 - November 14, 2001
LIND-WALDOCK SECURITIES, INC.
November 3, 1993 - March 28, 1995
INDEX SECURITIES, INC.
July 9, 1992 - October 29, 1993
REPUBLIC SECURITIES, INC.
November 30, 1989 - March 7, 1991
CENTURY CAPITAL CORP. OF SOUTH CAROLINA
May 26, 1987 - October 12, 1989
REFCO SECURITIES, LLC
July 17, 1986 - February 27, 1987
MARSHALL & CO. SECURITIES, INC.
May 1, 1986 - November 17, 1986
EASTERN CAPITAL SECURITIES, INC.
July 17, 1984 - May 21, 1985
E. F. HUTTON & COMPANY INC
November 3, 1983 - July 18, 1984
LEHMAN BROTHERS INC.
November 15, 1979 - April 30, 1981
E. F. HUTTON & COMPANY INC
December 26, 1978 - October 28, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1978 - January 13, 1979
LEHMAN BROTHERS INC.
June 15, 1977 - August 14, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
June 1, 1976 - July 25, 1977
CITIGROUP GLOBAL MARKETS INC.
March 4, 1974 - June 13, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
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 1
Date: 2/27/1974
Registered Representative ExaminationCurrent Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
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.
