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JB

John J. Barry Iv

Some features on this profile are disabled
CRD#: 2711555
JB

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.

John James Barry Iv, who also goes by John James Barry IV, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1996. John had worked at 12 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John James Barry Iv

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 1, 2015 - September 11, 2024

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
Bradenton, FL
Past

January 30, 2013 - April 22, 2015

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

September 19, 2011 - March 2, 2012

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

June 15, 2010 - August 22, 2011

AK CAPITAL LLC

BD
CRD#: 28345
DEERFIELD BEACH, FL
Past

October 5, 2007 - April 28, 2010

BONDS.COM LLC

BD
CRD#: 43875
BOCA RATON, FL
Past

August 17, 2007 - October 29, 2007

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

June 19, 2007 - August 14, 2007

RNA CAPITAL, INC.

BD
CRD#: 107803
MEMPHIS, TN
Past

October 19, 2006 - August 14, 2007

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
SARASOTA, FL
Past

August 12, 2002 - August 16, 2005

SOVEREIGN SECURITIES CORPORATION, LLC

BD
CRD#: 112638
PHILADELPHIA, PA
Past

August 3, 2000 - August 20, 2002

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
AUSTIN, TX
Past

June 7, 1999 - August 4, 2000

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

February 7, 1996 - June 8, 1999

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/9/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/24/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/21/2001
General Securities Principal Examination

Current Firm

TC
TRIBAL CAPITAL MARKETS, LLC
BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | BLUE CAPITAL SECURITIES, INC.

CRD#: 38901 / SEC#: , 8-48460

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
10243 Mattraw Place, Orlando, FL 32836
Mailing Address
10243 Mattraw Place, Orlando, FL 32836
Phone number
(212) 376-7492
Established
Delaware since 04/20/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PLP CAPITAL, LLCMEMBER
HARRIS, PATRICK EUGENECCO5748909
LAPIETRA, PETERCEO2273197
OCHOJSKI, GREGORY ANDREFINOP4705726

Disclosures

Regulatory Event2

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.

Company Information

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901

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