Thomas Joseph Barrett
Professional Summary
Thomas Joseph Barrett is a registered financial advisor currently at 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Current Firm
CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.
Contact Information
Main Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266Mailing Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266Phone Number
(310) 952-0987Established
California since 04/21/2003Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Apr 2012About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2016About the Series 28 examSRO Registrations
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Barrett's CRS (Customer Relationship Summary).
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC