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DB

Daniel F. Barrett

Some features on this profile are disabled
CRD#: 1789580
DB

Professional summary

Daniel Forrest Barrett was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Daniel had worked at 8 firms, which includes OXFORD FINANCIAL GROUP, RUSHMORE SECURITIES CORPORATION, J.P. MORGAN SECURITIES LLC, UBS FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, LOVETT UNDERWOOD NEUHAUS & WEBB INC., F.N. WOLF & CO. INC., SHERWOOD CAPITAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 3, 1999 - December 31, 2003

OXFORD FINANCIAL GROUP

BD
CRD#: 40700
HOUSTON, TX
Past

August 28, 1998 - November 30, 1999

RUSHMORE SECURITIES CORPORATION

BD
CRD#: 8392
DALLAS, TX
Past

October 18, 1993 - July 12, 1994

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 18, 1991 - October 5, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 4, 1990 - September 30, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 26, 1990 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

BD
CRD#: 22540
Past

May 20, 1988 - June 14, 1990

F.N. WOLF & CO., INC.

BD
CRD#: 13051
Past

January 19, 1988 - June 1, 1988

SHERWOOD CAPITAL, INC.

BD
CRD#: 10474

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 5/18/1999
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/1998
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination

Current Firm

OF
OXFORD FINANCIAL GROUP
INVESTORS TRADING CORP. | OXFORD FINANCIAL GROUP | INVESTORS TRADING CORPORATION

CRD#: 40700 / SEC#: , 8-49153

BD
Cancelled by SEC on 11/19/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/08/1996
Firm type
Corporation
Fiscal year end
May
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GALLERIA TRADING COMPANYPARENT COMPANY
CLOUD, THOMAS JOHN JRCEO1919679

Disclosures

Regulatory Event1
Arbitration2

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

OXFORD FINANCIAL GROUP

CRD#: 40700

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