John M. Barrett
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.
John M Barrett, who also goes by John Michael Barrett, John Barrett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - December 5, 2019
RLP WEALTH ADVISORS, LLC
June 22, 2017 - November 2, 2017
NATIONAL PLANNING CORPORATION
June 20, 2017 - November 2, 2017
NATIONAL PLANNING CORPORATION
February 23, 2015 - February 2, 2016
M&T SECURITIES, INC.
February 23, 2015 - February 2, 2016
M&T SECURITIES, INC.
January 8, 2013 - November 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2012 - November 1, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2011 - September 10, 2012
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 21, 2005 - March 16, 2007
TD WEALTH MANAGEMENT SERVICES INC.
December 23, 1996 - May 5, 2004
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
RLP WEALTH ADVISORS, LLC
CRD#: 289841 / SEC#: 801-111718
Contact information
Red Flags
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