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DB

David W. Barrer

PENTEGRA DISTRIBUTORS
Shelton, CT 06484
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CRD#: 1633231
DB

Professional summary


David Wayne Barrer, who also goes by Dave Barrer, David W Barrer, is a registered financial professional currently at PENTEGRA DISTRIBUTORS INC. located in Shelton, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Dave Barrer | David W Barrer

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) - BD


Click below to view David Wayne Barrer'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®
None

Experience


Current

March 4, 2016 - Present

PENTEGRA DISTRIBUTORS INC.

Office #1: 2 Enterprise Drive Suite 408, Shelton, CT 06484
BD
CRD#: 26249
Shelton, CT
Past

August 6, 2003 - September 5, 2008

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
LOUISVILLE, KY
Past

May 14, 2002 - September 8, 2008

PRIVATE CLIENT SERVICES, LLC

RIA
CRD#: 120222
LOUISVILLE, KY
Past

February 10, 1997 - August 15, 2003

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

March 14, 1996 - February 13, 1997

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

May 17, 1994 - December 31, 1995

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

August 7, 1987 - February 12, 1997

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

March 12, 1987 - December 31, 1988

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings


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

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
Kentucky
(3/4/2016)

Exams


State Security Law Exam
RR
Series 63
Date: 10/13/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


PD
PENTEGRA DISTRIBUTORS INC.
PENTEGRA DISTRIBUTORS INC. | RETIREMENT SYSTEM DISTRIBUTORS INC.

CRD#: 26249 / SEC#: , 8-42445

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information


Main Address
701 Westchester Avenue Suite 320e, White Plains, NY 10604
Mailing Address
701 Westchester Avenue Suite 320e, White Plains, NY 10604
Phone number
(914) 821-9554
Established
Delaware since 05/25/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
PENTEGRA SERVICES INC.PARENT COMPANY
ERNST, LARS GERHARDDIRECTOR, VP AND CCO5197938
FINNEGAN, KEVIN ODIRECTOR
WIETSMA, ERIC HANSDIRECTOR AND PRESIDENT3167584

Disclosures


Regulatory Event1

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.

Company Information


PENTEGRA DISTRIBUTORS INC.

CRD#: 26249Shelton, CT 06484

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