Thomas K. Barneby
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.
Thomas Kirkham Barneby, who also goes by T Kirkham Barneby, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2014 - August 25, 2020
ALPS DISTRIBUTORS, INC.
January 25, 2011 - November 1, 2012
MATRIX CAPITAL GROUP, INC.
October 24, 2008 - October 26, 2010
FORESIDE DISTRIBUTION SERVICES, L.P.
August 21, 1995 - December 2, 2003
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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