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WB

William J. Barr

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CRD#: 1902298
WB

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.

William John Barr III, who also goes by William John Barr, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1988. William had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William John Barr

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

September 20, 2016 - June 9, 2021

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

June 8, 2016 - September 19, 2016

NEW ALBION PARTNERS LLC

BD
CRD#: 119518
NEW YORK, NY
Past

January 4, 2016 - June 2, 2016

MKM PARTNERS LLC

BD
CRD#: 114666
NEW YORK, NY
Past

June 9, 2014 - January 4, 2016

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

January 2, 2014 - June 11, 2014

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL
Past

January 25, 2013 - January 21, 2014

XFA SECURITIES, LLC

BD
CRD#: 147909
CHICAGO, IL
Past

December 19, 2011 - January 22, 2013

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

December 16, 2009 - December 9, 2011

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

May 22, 2006 - December 23, 2009

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

September 16, 2002 - May 31, 2006

SRT SECURITIES LLC

BD
CRD#: 33725
BIRMINGHAM, MI
Past

July 17, 2000 - December 11, 2001

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 26, 1992 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

February 26, 1992 - June 30, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

February 4, 1991 - January 22, 1992

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Past

December 6, 1988 - October 2, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
Past

December 6, 1988 - October 2, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

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: 12/16/2004
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: 7/14/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/28/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/27/2002
Registered Options Principal Examination

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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

SRT SECURITIES LLC

CRD#: 33725

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