Sydney 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.
Sydney Barrett, who also goes by Joyce Marie Barrett, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1989. Sydney had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2007 - March 6, 2008
TREASURE FINANCIAL CORP.
June 2, 2003 - November 3, 2003
OXFORD FINANCIAL GROUP
October 22, 2001 - March 10, 2009
ONE FINANCIAL SECURITIES, LTD.
April 19, 1999 - October 22, 2001
IMS SECURITIES, INC.
January 14, 1999 - April 16, 1999
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 20, 1997 - January 26, 1999
WESTAMERICA INVESTMENT GROUP
January 2, 1997 - November 14, 1997
PROSPERA FINANCIAL SERVICES, INC.
August 6, 1996 - December 31, 1996
LAIDLAW GLOBAL SECURITIES, INC.
November 3, 1995 - August 5, 1996
D.E. FREY & COMPANY, INC.
October 4, 1993 - August 11, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1993 - October 21, 1993
D.E. FREY & COMPANY, INC.
December 3, 1991 - March 30, 1992
D.E. FREY & COMPANY, INC.
April 19, 1989 - February 14, 1991
LEHMAN BROTHERS INC.
January 24, 1989 - April 17, 1989
RAUSCHER PIERCE REFSNES, INC.
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
Current Firm
TREASURE FINANCIAL CORP.
CRD#: 38323 / SEC#: , 8-48165
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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