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GB

Grael B. Barker

LASALLE ST SECURITIES, L.L.C.
Louisville, KY 40229
Some features on this profile are disabled
CRD#: 1865873
GB

Professional summary

Grael Burt Barker, CFP® is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Louisville, Kentucky.

Grael is registered as a RR (Registered Representative) and started their career in finance in 1988. Grael has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

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) - BD

Click below to view Grael Burt Barker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

December 15, 2017 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 9201 Smyrna Pkwy, Louisville, KY 40229
BD
CRD#: 7191
Louisville, KY
Past

December 16, 2017 - June 29, 2020

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA
CRD#: 109701
Louisville, KY
Past

January 2, 2013 - December 15, 2017

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
LOUISVILLE, KY
Past

January 2, 2013 - December 15, 2017

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
LOUISVILLE, KY
Past

July 26, 2005 - January 3, 2013

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
LOUISVILLE, KY
Past

August 30, 1988 - January 3, 2013

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
LOUISVILLE, KY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/15/2019)
RR
Indiana
(12/15/2017)
RR
Kentucky
(12/15/2017)
RR
North Carolina
(2/6/2024)
RR
Ohio
(12/15/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LASALLE ST SECURITIES, L.L.C.
LA SALLE ST. SECURITIES, INC. | LASALLE ST SECURITIES, L.L.C.

CRD#: 7191 / SEC#: , 8-18860

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Mailing Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Phone number
(630) 600-0500
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LASALLE ST. HOLDINGS LLC F/K/A MCDERMOTT HOLDINGS I, L.P.100% OWNER
BEAVER, REGAN ALANCHIEF COMPLIANCE OFFICER4621953
DROZD, MICHAEL MITCHELLCHIEF INVESTMENT OFFICER6015178
SCHLESSER, DANIEL JOHNC.F.O./TRES./C.O.O1788458

Disclosures

Regulatory Event15
Arbitration4
Bond1

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

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191Louisville, KY 40229

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