Thomas R. Barrett
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.
Thomas Ralph Barrett was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 3 firms and has passed the Series 63, Series 6 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2001 - February 2, 2009
FIRST VARIABLE CAPITAL SERVICES, INC.
November 15, 2000 - January 25, 2012
INVESTMENT DISTRIBUTORS, INC.
November 25, 1996 - February 20, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, 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 28
Date: 11/8/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST VARIABLE CAPITAL SERVICES, INC.
CRD#: 30007 / SEC#: , 8-44678
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BARRETT, THOMAS RALPH | FINANCIAL OPERATIONS OFFICER & DIRECTOR | 2820433 |
| BROWN, BARRY KEITH | ASSISTANT SECRETARY | 2788155 |
| CALDWELL, EDWIN VALDIVIA II | PRESIDENT & SECRETARY | 4583125 |
| CALLAWAY, STEVE MANLEY | CHIEF COMPLIANCE OFFICER | 2863190 |
| CARROLL, GARY MICHAEL | ASSISTANT COMPLIANCE OFFICER | 2846420 |
| JOHNSON, JULENA GAYLE | ASSISTANT COMPLIANCE OFFICER | 2708191 |
| KING, CAROLYN | DIRECTOR | 859759 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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