John L. Barry
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 Lavallen Barry III, who also goes by John Lavallen Barry, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 5 firms and has passed the Series 63, 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
May 24, 1988 - March 7, 1989
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 24, 1978 - May 24, 1988
TROSTER SINGER CORPORATION
July 23, 1973 - March 16, 1979
STEVENS, ROTHCHILD & CO., INC.
November 8, 1972 - August 27, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 27, 1968 - December 13, 1972
F I DUPONT GLORE FORGAN AND CO
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: 8/7/1957
Registered Representative ExaminationSeries 40
Date: 9/20/1968
Registered Principal ExaminationCurrent Firm
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD#: 3466 / SEC#: , 8-526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | LIMITED PARTNER | |
| CHARTRES, JOHN H | CHIEF FINANCIAL OFFICER | 4543106 |
| CRIGHTON, ALICIA ANNE | CHIEF OPERATIONS OFFICER | 4643104 |
| CZEPIEL, KYLE ROBERT | CO-CHIEF EXECUTIVE OFFICER | 2360785 |
| FUREY, TIMOTHY TODD | CO-CHIEF EXECUTIVE OFFICER | 2609753 |
| GOLDMAN SACHS HOLDING COMPANY LLC | GENERAL PARTNER | |
| JACK, KATHLEEN | CHIEF COMPLIANCE OFFICER | 2547676 |
Disclosures
| Regulatory Event | 150 |
| Arbitration | 1 |
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.
