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PB

Paul H. Barrett

TRADEWEB DIRECT LLC
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 2120685
PB

Professional summary

Paul Henry Barrett is a registered financial professional currently at TRADEWEB DIRECT LLC located in Garden City, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 7 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 Paul Henry Barrett's 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®
None

Experience

Current

October 6, 2010 - Present

TRADEWEB DIRECT LLC

Office #1: 1225 Franklin Avenue Suite 550, Garden City, NY 11530
BD
CRD#: 103787
Garden City, NY
Past

August 22, 2007 - November 25, 2008

GUGGENHEIM LIQUIDITY SERVICES, LLC

BD
CRD#: 141697
NEW YORK, NY
Past

May 14, 2004 - October 13, 2006

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

May 14, 2004 - May 9, 2007

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 23, 2002 - May 18, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 1, 2000 - May 31, 2002

INSTINET FIXED INCOME INC.

BD
CRD#: 47326
NEW YORK, NY
Past

August 25, 1999 - July 27, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

May 13, 1999 - July 7, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

May 13, 1999 - July 7, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

June 9, 1994 - July 8, 1998

EASTBRIDGE CAPITAL INC.

BD
CRD#: 23858
NEW YORK, NY

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
New York
(10/22/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TD
TRADEWEB DIRECT LLC
BONDDESK TRADING LLC | TRADEWEB DIRECT LLC

CRD#: 103787 / SEC#: , 8-52278

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

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 808-0004
Established
Delaware since 11/03/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BONDDESK GROUP LLCOWNER
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CAHALANE, JOHN JOSEPHPRESIDENT2922033
CLACK, AMYBOARD MEMBER4882071
FRIEDMAN, DOUGLAS L.GENERAL COUNSEL5121291
MCGUIRE, MICHAEL TERRENCECHIEF COMPLIANCE OFFICER2267871
PITTINSKY, JONATHAN DAVIDCHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL4291263
SERRAO, ASHLEY NEILBOARD MEMBER5360541
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

Disclosures

Regulatory Event2

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

TRADEWEB DIRECT LLC

CRD#: 103787Garden City, NY 11530

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