Jeffrey K. Barker
Professional summary
Jeffrey Kevin Barker, who also goes by Jeffrey Barker, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1987. Jeffrey has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Kevin Barker's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2022 - Present
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Office #1: 1095 Avenue Of The Americas, New York, NY 10036September 25, 2017 - November 9, 2020
SANTANDER INVESTMENT SECURITIES INC.
May 7, 2016 - June 13, 2017
COWEN AND COMPANY
December 20, 2012 - May 11, 2016
CRT CAPITAL GROUP LLC
February 17, 2010 - November 21, 2012
UBS SECURITIES LLC
November 3, 2008 - January 30, 2010
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
September 22, 2008 - October 27, 2008
BARCLAYS CAPITAL INC.
April 19, 2000 - September 22, 2008
LEHMAN BROTHERS INC.
December 22, 1997 - April 11, 2000
ABN AMRO INCORPORATED
March 5, 1996 - December 19, 1997
CITICORP SECURITIES, INC.
November 25, 1987 - February 10, 1996
LEHMAN BROTHERS 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
(1/13/2022)
(1/13/2022)
(1/13/2022)
Exams
Series 79TO
Date: 3/8/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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