Thomas J. Barrett

ECHELON CAPITAL

EL SEGUNDO, CA 90245

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CRD#: 2821759

Professional summary

Thomas Joseph Barrett, who also goes by Tom Barrett, is a registered financial professional currently at ECHELON CAPITAL located in El Segundo, California and CAPLINK SECURITIES, INC located in Manhattan Beach, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 15 firms and has passed the Series 66, Series 99TO, SIE, Series 79, Series 7, Series 28 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Barrett

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 Thomas Joseph Barrett's CRS (Customer Relationship Summary).

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

April 18, 2022 - Present

ECHELON CAPITAL

Office #1: 2321 Rosecrans Avenue Suite 3285, El Segundo, CA 90245

CRD#: 155228

EL SEGUNDO, CA

Current

April 18, 2022 - Present

CAPLINK SECURITIES, INC

Office #1: 1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266

CRD#: 130702

MANHATTAN BEACH, CA

Past

April 21, 2022 - April 3, 2024

DIVERSIFIED SECURITIES, INCORPORATED

CRD#: 222

SEAL BEACH, CA

Past

April 18, 2022 - April 28, 2023

KEYSTONE CAPITAL MARKETS

CRD#: 288767

IRVINE, CA

Past

April 18, 2022 - November 22, 2023

MULLIGAN INVESTMENT BANKERS, LLC

CRD#: 238791

NEWPORT BEACH, CA

Past

September 8, 2021 - July 21, 2022

POLYGON CAPITAL ADVISORS, LLC

CRD#: 159143

SAUSALITO, CA

Past

June 26, 2018 - August 25, 2021

MERCURY SECURITIES, LLC

CRD#: 40368

NOVATO, CA

Past

August 1, 2017 - November 21, 2017

280 SECURITIES LLC

CRD#: 284939

SAN FRANCISCO, CA

Past

March 7, 2016 - August 1, 2017

LIBERTY GROUP, LLC

CRD#: 106036

OAKLAND, CA

Past

March 3, 2015 - August 5, 2015

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

COSTA MESA, CA

Past

March 2, 2015 - August 5, 2015

M HOLDINGS SECURITIES, INC.

CRD#: 43285

COSTA MESA, CA

Past

June 3, 2013 - June 9, 2014

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

August 18, 2011 - August 31, 2012

ASCENDIANT SECURITIES, LLC

CRD#: 129236

JUPITER, FL

Past

August 5, 2011 - March 31, 2015

ALPHA STRATEGIES INVESTMENT CONSULTING

RIA

CRD#: 151782

LADERA RANCH, CA

Past

January 1, 2007 - June 1, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEWPORT BEACH, CA

Past

December 18, 2006 - June 1, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEWPORT BEACH, CA

Past

July 11, 1997 - July 29, 1998

PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868

LOS ANGELES, CA

State Registrations and Notice Filings

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

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

California
(4/18/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/13/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 12/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 3/7/2016

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/31/1997

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

CAPLINK SECURITIES, INC

CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.

CRD#: 130702 / SEC#: , 8-66379

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266

Mailing Address

1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266

Phone number

(310) 952-0987

Established

California since 04/21/2003

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MIBU, SCOTT JIRO	PRESIDENT, CCO	2272272
OSHIRO, MICHAEL HENRY	CEO	2271174
BARRETT, THOMAS JOSEPH	FINOP	2821759

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Barrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Barrett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPLINK SECURITIES, INC

DIVERSIFIED SECURITIES, INCORPORATED

KEYSTONE CAPITAL MARKETS

MULLIGAN INVESTMENT BANKERS, LLC

POLYGON CAPITAL ADVISORS, LLC

MERCURY SECURITIES, LLC

280 SECURITIES LLC

LIBERTY GROUP, LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

DINOSAUR FINANCIAL GROUP, L.L.C

ASCENDIANT SECURITIES, LLC

ALPHA STRATEGIES INVESTMENT CONSULTING

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PAYDEN & RYGEL DISTRIBUTORS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 4/13/2012

Series 7

Date: 12/14/2006

Series 28

Date: 3/7/2016

Series 27

Date: 1/31/1997

FINRA

Current Firm

CAPLINK SECURITIES, INC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPLINK SECURITIES, INC

TRUST BUT VERIFY

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