LB
Luis P. Barahona
ANDREW GARRETT
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 2721040
LB
Professional summary
Luis Porfirio Barahona, who also goes by Lou Barahona, is a registered financial professional currently at ANDREW GARRETT INC. located in New York, New York.
Luis is registered as a RR (Registered Representative) and started their career in finance in 1996. Luis has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lou Barahona
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.
CRS (Client Relationship Summary) - BD
Click below to view Luis Porfirio Barahona'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®
NoneExperience
Current
February 26, 2007 - Present
ANDREW GARRETT INC.
Office #1: 230 Park Ave 3rd Floor West, New York, NY 10169RIA
BD
CRD#: 29931
NEW YORK, NY
Past
November 15, 2004 - February 28, 2007
S.W. BACH & COMPANY
BD
CRD#: 43522
NEW YORK, NY
Past
October 23, 2002 - November 30, 2004
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
August 27, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
January 2, 2002 - August 30, 2002
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
June 6, 2001 - January 2, 2002
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
June 1, 2000 - May 18, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 11, 2000 - April 26, 2000
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
UNIONDALE, NY
Past
September 29, 1999 - January 10, 2000
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
July 1, 1999 - October 7, 1999
MAY, DAVIS GROUP INC.
BD
CRD#: 35622
NEW YORK, NY
Past
August 13, 1997 - July 23, 1999
PRIME CHARTER LTD.
BD
CRD#: 25668
NEW YORK, NY
Past
June 12, 1996 - August 12, 1997
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(2/26/2007)
RR
Connecticut(7/17/2017)
RR
Florida(2/26/2007)
RR
Georgia(2/26/2007)
RR
Illinois(2/26/2007)
RR
Massachusetts(2/26/2007)
RR
Missouri(10/4/2011)
RR
New Jersey(2/26/2007)
RR
New York(2/26/2007)
RR
North Carolina(10/15/2012)
RR
Pennsylvania(2/26/2007)
RR
Puerto Rico(7/21/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-8833
Established
Delaware since 04/19/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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.
