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BM

Barry C. Mohr

TRIBAL CAPITAL MARKETS
ORLANDO, FL 32836
Some features on this profile are disabled
CRD#: 2252397
BM

Professional summary

Barry Charles Mohr JR, who also goes by Barry Charles Mohr, is a registered financial professional currently at TRIBAL CAPITAL MARKETS, LLC located in Orlando, Florida.

Barry is registered as a RR (Registered Representative) and started their career in finance in 1995. Barry has worked at 14 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barry Charles Mohr

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 Barry Charles Mohr JR's CRS (Customer Relationship Summary).
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

March 19, 2018 - Present

TRIBAL CAPITAL MARKETS, LLC

Office #1: 10243 Mattraw Place, Orlando, FL 32836
BD
CRD#: 38901
ORLANDO, FL
Past

September 5, 2017 - March 26, 2018

REVL SECURITIES, LLC

BD
CRD#: 269839
PHILADELPHIA, PA
Past

April 30, 2016 - November 1, 2016

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
NEW YORK, NY
Past

October 21, 2013 - November 18, 2014

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

March 1, 2013 - October 2, 2013

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

March 1, 2012 - March 7, 2013

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
NEW YORK, NY
Past

February 24, 2012 - March 5, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

May 24, 2011 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

May 9, 2006 - May 24, 2011

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

January 28, 2002 - April 27, 2006

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

September 9, 1999 - February 5, 2002

GOLDEN HARRIS CAPITAL GROUP, INC.

BD
CRD#: 13889
WEST ORANGE, NJ
Past

February 9, 1999 - August 30, 1999

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
NEW YORK, NY
Past

May 11, 1998 - February 17, 1999

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

August 21, 1995 - May 22, 1998

INTL FCSTONE PARTNERS L.P.

BD
CRD#: 19764
JERSEY CITY, NJ

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
California
(3/20/2018)
RR
Florida
(2/28/2020)
RR
Illinois
(4/5/2018)
RR
Maryland
(12/12/2019)
RR
New Jersey
(4/12/2018)
RR
New York
(4/12/2018)
RR
Utah
(2/27/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/21/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/17/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRIBAL CAPITAL MARKETS, LLC
BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | BLUE CAPITAL SECURITIES, INC.

CRD#: 38901 / SEC#: , 8-48460

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

Main Address
10243 Mattraw Place, Orlando, FL 32836
Mailing Address
10243 Mattraw Place, Orlando, FL 32836
Phone number
(212) 376-7492
Established
Delaware since 04/20/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PLP CAPITAL, LLCMEMBER
HARRIS, PATRICK EUGENECCO5748909
LAPIETRA, PETERCEO2273197
OCHOJSKI, GREGORY ANDREFINOP4705726

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

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901Orlando, FL 32836

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