Leroy E. 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.
Leroy Elliston Barry, who also goes by Leroy E. Barry, Roy E Barry, Roy Barry, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1992. Leroy had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - January 23, 2014
GRADIENT ADVISORS, LLC
April 10, 2008 - June 28, 2010
HORNOR, TOWNSEND & KENT, LLC
April 10, 2008 - June 28, 2010
HORNOR, TOWNSEND & KENT, LLC
April 5, 2007 - May 8, 2008
MML INVESTORS SERVICES, LLC
October 10, 2006 - May 8, 2008
MML INVESTORS SERVICES, LLC
June 16, 2005 - March 21, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 1, 2003 - December 14, 2004
WALNUT STREET SECURITIES, INC.
July 24, 2002 - March 1, 2005
NEW ENGLAND SECURITIES
March 15, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 15, 2002 - March 1, 2005
NEW ENGLAND SECURITIES
May 16, 1995 - December 20, 2001
1717 CAPITAL MANAGEMENT COMPANY
March 1, 1993 - July 7, 1995
NEW ENGLAND SECURITIES
July 13, 1992 - January 12, 1993
METROPOLITAN LIFE INSURANCE COMPANY
July 13, 1992 - January 12, 1993
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
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
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
