Keith W. Barry

HOULIHAN LOKEY CAPITAL

San Francisco, CA 94104

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CRD#: 2531484

Professional summary

Keith W Barry, who also goes by Keith William Barry, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in San Francisco, California.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2004. Keith has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith William Barry

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 Keith W 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

September 17, 2020 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 333 Bush Street 31st Floor, San Francisco, CA 94104

CRD#: 17708

San Francisco, CA

Past

November 21, 2016 - August 31, 2020

WELLS FARGO SECURITIES, LLC

CRD#: 126292

SAN FRANCISCO, CA

Past

August 21, 2009 - November 11, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

September 19, 2006 - February 6, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 29, 2004 - March 3, 2005

HEALTHPOINTCAPITAL ADVISORS, LLC

CRD#: 126546

NEW YORK, NY

Past

January 7, 2004 - April 16, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(9/17/2020)

Exams

State Security Law Exam

Series 63

Date: 11/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Keith W. Barry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith W Barry's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

HEALTHPOINTCAPITAL ADVISORS, LLC

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2006

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2004

Series 24

Date: 7/18/2016

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

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