William Patrick Barber
Professional Summary
William Patrick Barber was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1995 - 2016. William had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 86, Series 87, Series 7, Series 56, Series 55 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
MITCHELL SECURITIES, INC.
Contact Information
Established
New York since 06/01/1991Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MITCHELL, THOMAS SPIKES | PRESIDENT, SECRETARY, DIRECTOR,CHIEF COMPLIANCE OFFICER | 809225 |
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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 87 — Research Analyst Exam - Part II Regulations Module
Passed May 2012About the Series 87 examSeries 56 — Proprietary Trader Qualification Examination
Passed Dec 2011Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 1998Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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