William P. Barber
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 Patrick Barber was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - January 6, 2016
MITCHELL SECURITIES, INC.
March 13, 2012 - October 2, 2013
DRIVEWEALTH INSTITUTIONAL LLC
December 6, 2011 - October 2, 2013
AGILE PT GROUP LLC
June 1, 2004 - January 5, 2007
SCOTT & STRINGFELLOW, LLC
March 27, 2000 - June 2, 2004
RAYMOND JAMES & ASSOCIATES, INC.
November 22, 1999 - February 3, 2000
KUHNS BROTHERS SECURITIES CORPORATION
January 22, 1999 - March 17, 1999
BURLINGTON CAPITAL MARKETS INC.
May 7, 1998 - March 24, 1999
CARNEGIE CHILDS & COMPANY L.L.C.
April 19, 1995 - February 10, 1998
SANFORD C. BERNSTEIN & CO., INC.
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
Series 56
Date: 12/5/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 7/14/1998
Limited Representative-Equity Trader ExamCurrent Firm
MITCHELL SECURITIES, INC.
CRD#: 29017 / SEC#: , 8-44058
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MITCHELL, THOMAS SPIKES | PRESIDENT, SECRETARY, DIRECTOR,CHIEF COMPLIANCE OFFICER | 809225 |
Red Flags
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