SB
Stephen D. Barrett
WAINWRIGHT INVESTMENT COUNSEL LLC
BOSTON, MA 02108
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CRD#: 13479
SB
Professional summary
Stephen Dalton Barrett, who also goes by Stephen D Barrett, is a registered financial advisor currently at WAINWRIGHT INVESTMENT COUNSEL LLC located in Boston, Massachusetts and WFS, LLC located in Boston, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1966. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 41, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen D Barrett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MR. BARRETT IS REGISTERED WITH WAINWRIGHT INVESTMENT COUNSEL, LLC ("WAINWRIGHT"), AN SEC REGISTERED INVESTMENT ADVISOR. MR. BARRETT IS A MEMBER OF THE WAINWRIGHT BOARD OF MANAGERS. HE IS REGISTERED WITH WFS, LLC WHOSE BUSINESS IS CURRENTLY LIMITED TO ENGAGING IN THE FACILITATION OF PRIVATE PLACEMENT TRANSACTIONS. WFS, LLC IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. MR. BARRETT IS A PRINCIPAL OF WAINWRIGHT CAPITAL PARTNERS, LLC ("WCAP"), A COMMODITY POOL OPERATOR AND MEMBER OF THE NATIONAL FUTURES ASSOCIATION. WCAP IS A WHOLLY OWNED SUBSIDIARY OF WAINWRIGHT ALSO LOCATED AT ONE BOSTON PLACE, BOSTON, MA 02108. WCAP ACTS AS GENERAL PARTNER OF THE WAINWRIGHT RENAISSANCE FUND 1, L.P. MR. BARRETT IS A PRINCIPAL OF WCAP SOLELY DUE TO HIS OWNERSHIP IN WAINWRIGHT.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Dalton Barrett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 14, 1999 - Present
WAINWRIGHT INVESTMENT COUNSEL LLC
Office #1: One Boston Place 41st Floor, Boston, MA 02108RIA
CRD#: 108711
BOSTON, MA
Current
June 5, 2003 - Present
WFS, LLC
Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108BD
CRD#: 116778
BOSTON, MA
Past
April 14, 1994 - July 15, 2003
H.C.WAINWRIGHT & CO., LLC
RIA
CRD#: 375
BOSTON, MA
Past
February 28, 1990 - July 15, 2003
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
December 8, 1976 - June 13, 1989
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
June 6, 1966 - January 20, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/2/2022)
IAR
Florida(4/6/2022)
RR
Maryland(3/7/2018)
IAR
Massachusetts(8/14/1999)
RR
Massachusetts(6/5/2003)
RR
New York(3/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 41
Date: 9/17/1983
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
PC
Date: 10/4/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 6/3/1966
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 4/7/1977
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
WI
WAINWRIGHT INVESTMENT COUNSEL LLC
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711 / SEC#: 801-56485
RIA
Registered Investment Advisory firm - (6/18/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Boston Place 29th Floor, Boston, MA 02108
Mailing Address
Phone number
(617) 531-3100
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 5,548,153,000 |
Red Flags
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Company Information
WAINWRIGHT INVESTMENT COUNSEL LLC
CRD#: 108711Boston, MA 02108TRUST BUT VERIFY
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Contact information
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