William P. Barker
Professional summary
William Patrick Barker, who also goes by Bill Barker, William Barker, is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1997. William has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 4, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Patrick Barker's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2011 - Present
WALL STREET ACCESS
Office #1: 100 Wall Street, Suite 804, New York, NY 10005December 3, 2010 - February 18, 2011
TD ARRANGED SERVICES LLC
February 22, 2000 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
November 17, 1999 - December 23, 1999
WIT CAPITAL CORPORATION
December 22, 1997 - October 19, 1999
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, 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
(2/18/2011)
(2/18/2011)
(2/18/2011)
(2/22/2011)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
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