Kenneth W. 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.
Kenneth William Barrett was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2017 - September 26, 2019
FRONTIER SOLUTIONS, LLC
June 2, 2010 - October 5, 2015
SCOTIA CAPITAL (USA) INC.
December 23, 2009 - February 24, 2010
SCOTIA CAPITAL (USA) INC.
February 29, 1996 - April 28, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
February 29, 1996 - April 28, 2008
MORGAN STANLEY & CO. LLC
March 3, 1991 - February 6, 1996
UBS FINANCIAL SERVICES INC.
September 22, 1987 - February 11, 1991
GOLDMAN SACHS & CO. LLC
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 8
Date: 5/11/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRONTIER SOLUTIONS, LLC
CRD#: 136102 / SEC#: , 8-66972
Contact information
FINRA licenses (47 States and Territories)
Red Flags
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