William E. Barnett
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.
William Erik Barnett, who also goes by Willie Barnett, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2020 - June 30, 2021
PATRICK CAPITAL MARKETS, LLC
August 13, 2020 - June 30, 2021
SAXONY CAPITAL MANAGEMENT, LLC
February 14, 2008 - August 21, 2018
PUTNAM INVESTMENT MANAGEMENT, LLC
May 25, 2006 - February 11, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
November 19, 1998 - August 21, 2018
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 25, 1996 - June 24, 1997
SPELMAN & CO., INC.
November 16, 1992 - June 13, 1995
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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