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William John Barr Iii

CRD# 1902298·Registered 1988 - 2021
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William John Barr III, who also goes by William John Barr, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1988 - 2021. William had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

William John Barr

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

SRT SECURITIES LLC·CRD# 33725
BD
Birmingham, MI
September 20, 2016 - June 9, 2021
NEW ALBION PARTNERS LLC·CRD# 119518
BD
New York, NY
June 8, 2016 - September 19, 2016
MKM PARTNERS LLC·CRD# 114666
BD
New York, NY
January 4, 2016 - June 2, 2016
RAFFERTY CAPITAL MARKETS, LLC·CRD# 23682
BD
New York, NY
June 9, 2014 - January 4, 2016
X-CHANGE FINANCIAL ACCESS, LLC·CRD# 126201
BD
Chicago, IL
January 2, 2014 - June 11, 2014
XFA SECURITIES, LLC·CRD# 147909
BD
Chicago, IL
January 25, 2013 - January 21, 2014
MKM PARTNERS LLC·CRD# 114666
BD
Stamford, CT
December 19, 2011 - January 22, 2013
BGC FINANCIAL, L.P.·CRD# 19801
BD
New York, NY
December 16, 2009 - December 9, 2011
PALI CAPITAL, INC.·CRD# 117783
BD
New York, NY
May 22, 2006 - December 23, 2009
SRT SECURITIES LLC·CRD# 33725
BD
Birmingham, MI
September 16, 2002 - May 31, 2006
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
July 17, 2000 - December 11, 2001
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
February 26, 1992 - December 10, 1993
PRUCO SECURITIES, LLC.·CRD# 5685
BD
February 26, 1992 - June 30, 1994
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
February 4, 1991 - January 22, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
December 6, 1988 - October 2, 1990
PRUCO SECURITIES, LLC.·CRD# 5685
BD
December 6, 1988 - October 2, 1990

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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)

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

FINRA licenses (24 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

26

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1988About the Series 6 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2002About the Series 4 exam

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CRS (Client Relationship Summary)

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

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