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BB

Brian W. Barry

DUNN SECURITIES
Stuart, FL 34994
Some features on this profile are disabled
CRD#: 2713492
BB

Professional summary

Brian William Barry is a registered financial professional currently at DUNN SECURITIES, LLC located in Stuart, Florida.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 12 firms and has passed the Series 63, SIE, Series 87, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Brian William 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 18, 2020 - Present

DUNN SECURITIES, LLC

Office #1: 309 Se Osceola St Suite 350, Stuart, FL 34994Office #2: 309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
BD
CRD#: 305349
Stuart, FL
Past

April 12, 2011 - September 23, 2016

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

November 2, 2009 - January 21, 2011

WJB CAPITAL GROUP, INC.

BD
CRD#: 37334
NEW YORK, NY
Past

December 22, 2008 - November 6, 2009

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

September 24, 2007 - September 10, 2008

VDM INSTITUTIONAL BROKERAGE, LLC

BD
CRD#: 39022
NEW YORK, NY
Past

June 7, 2005 - September 24, 2007

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

March 3, 2004 - June 6, 2005

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
NEW YORK, NY
Past

July 11, 2003 - May 12, 2004

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

September 12, 2002 - April 8, 2003

KNIGHT EXECUTION PARTNERS LLC

BD
CRD#: 104228
CHICAGO, IL
Past

February 10, 1998 - March 1, 2004

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

May 21, 1997 - January 29, 1998

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

May 22, 1996 - April 24, 1997

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY

State Registrations and Notice Filings

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

RR
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

RR
Florida
(11/4/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 5/1/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 3
Date: 1/12/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/22/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/19/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/14/2014
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DUNN SECURITIES, LLC
DUNN SECURITIES, LLC

CRD#: 305349 / SEC#: , 8-70398

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

Main Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
Mailing Address
309 Se Osceola St. Suite 350, Stuart, FL 34994-2240
Phone number
(772) 286-4777
Established
Delaware since 03/20/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DUNN CAPITAL MANAGEMENT, LLCMEMBER
BERGIN, MARTIN HAMILTONMEMBER5820351
BARRY, BRIAN WILLIAMPRINCIPAL2713492
DREYER, DAVID EUGENECHIEF COMPLIANCE OFFICER7829306
KAUPPI, DAVID ALLENMANAGER/FINOP7180217

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

DUNN SECURITIES, LLC

CRD#: 305349Stuart, FL 34994

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