James A. Barry

Some features on this profile are disabled

CRD#: 13707

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.

James Albert Barry JR was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1969. James had worked at 10 firms and has passed the Series 63, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 8, 2010 - April 6, 2011

R.M. STARK & CO., INC.

CRD#: 7612

BOCA RATON, FL

Past

December 16, 2005 - April 6, 2010

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

BOCA RATON, FL

Past

December 7, 2005 - April 6, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

BOCA RATON, FL

Past

August 30, 2005 - May 2, 2006

BARRY FINANCIAL GROUP INC

RIA

CRD#: 110786

BOCA RATON, FL

Past

March 20, 1984 - January 23, 2006

ASSET MANAGEMENT SECURITIES CORP.

CRD#: 14433

STUART, FL

Past

September 2, 1981 - April 19, 1984

LPL FINANCIAL LLC

CRD#: 6413

Past

April 11, 1980 - September 18, 1981

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

June 25, 1979 - April 3, 1980

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

October 31, 1977 - August 13, 1979

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

Past

May 17, 1977 - October 7, 1977

R. L. STEVENS & COMPANY, INC.

CRD#: 6829

Past

December 10, 1969 - March 26, 1976

PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 684

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 12/6/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 7/10/1971

General Securities Principal Examination

Current Firm

R.M. STARK & CO., INC.

R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

730 S Federal Hwy, Lake Worth Beach, FL 33460-4955

Mailing Address

730 S Federal Hwy, Lake Worth Beach, FL 33460-4955

Phone number

(561) 243-3815

Established

Florida since 09/29/1988

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RMST HOLDING COMPANY, INC.	OWNER
MCTAGUE, ROBIN JAYNE	CHIEF COMPLIANCE OFFICER	1438670
STARK, GARY LESTER	CEO	433866
STARK, GARY LESTER	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL	433866

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Barry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BARRY FINANCIAL GROUP INC

ASSET MANAGEMENT SECURITIES CORP.

LPL FINANCIAL LLC

LOWRY FINANCIAL SERVICES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

LOWRY FINANCIAL SERVICES CORPORATION

R. L. STEVENS & COMPANY, INC.

PUTNAM FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/1985

Series 1

Date: 12/6/1969

Series 00

Date: 7/10/1971

Current Firm

R.M. STARK & CO., INC.

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

R.M. STARK & CO., INC.

TRUST BUT VERIFY

Similar Advisors