Paul F. Barry

MIDDLE STREET CAPITAL

Portsmouth, NH 03801

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CRD#: 2199987

Professional summary

Paul Francis Barry is a registered financial advisor currently at MIDDLE STREET CAPITAL, LLC located in Portsmouth, New Hampshire.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Paul has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. I am a Public Member of the New Hampshire Board of Mental Health Practice, 121 South Fruit Street, Suite 303, Concord, NH 03301. The Board is engaged in non-investment related activity consisting of professional licensure and certification of mental health professionals, as well as advising the State and Governor of New Hampshire on the status of mental health professional services in New Hampshire. My start date was March 1, 2018. I devote approximately 7 hours per month to this business, of which approximately 6 hours are during securities trading hours. My duties include: reviewing mental health professional standards and practices in the State of New Hampshire as well as reviewing disciplinary proceedings and licenses of mental health practitioners. 2. Currently an IAR associated with One Day In July, LLC, Burlington VT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Francis Barry'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

November 2, 2020 - Present

MIDDLE STREET CAPITAL, LLC

Office #1: 4 Market St 2nd Floor, Portsmouth, NH 03801

RIA

CRD#: 226513

Portsmouth, NH

Past

March 12, 2018 - November 4, 2020

ONE DAY IN JULY LLC

RIA

CRD#: 284335

Portsmouth, NH

Past

February 9, 2015 - April 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PORTSMOUTH, NH

Past

February 9, 2015 - April 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PORTSMOUTH, NH

Past

April 7, 2003 - February 11, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PORTSMOUTH, NH

Past

April 12, 1994 - February 11, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PORTSMOUTH, NH

Past

January 15, 1992 - May 6, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(6/3/2021)

IAR

Massachusetts
(11/19/2020)

IAR

New Hampshire
(11/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MIDDLE STREET CAPITAL, LLC

MIDDLE STREET CAPITAL, LLC | MIDDLE STREET CAPITAL. L.L.C.

CRD#: 226513 / SEC#:

Maine

Registered Investment Advisory firm - (6/3/2021 Approved)

Massachusetts

Registered Investment Advisory firm - (10/21/2020 Approved)

New Hampshire

Registered Investment Advisory firm - (7/14/2015 Approved)

Utah

Registered Investment Advisory firm - (7/30/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4 Market Square 2nd Floor, Portsmouth, NH 03801

Mailing Address

Phone number

(603) 531-3773

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 86,650,658

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.

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Firm Stability Insights

Paul F. Barry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Francis Barry's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONE DAY IN JULY LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1994

Series 63

Date: 1/15/1992

SIE

Date: 4/3/2018

Series 7

Date: 4/11/1994

Series 6

Date: 1/13/1992

Current Firm

MIDDLE STREET CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MIDDLE STREET CAPITAL, LLC

TRUST BUT VERIFY

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