Richard Lee Barrett
Professional Summary
Richard Lee Barrett, who also goes by Rick Barrett, was a registered financial advisor. Richard was a previously registered financial advisor and started their career in finance 1994 - 2013. Richard had worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 28, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Barrett
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
MERRIMAC ASSET MANAGEMENT | MERRIMAC CORPORATE SECURITIES, INC.
Contact Information
Established
New Hampshire since 10/20/1993Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEAM ADVISORY CORPORATE, INC. | SHAREHOLDER | — |
Disclosures
Regulatory Event
7Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2003Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 2002About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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