Paul S. Barrett

RAVINE ROAD ADVISORS

Greenwich, CT

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CRD#: 4253570

Professional summary

Paul Simon Barrett is a registered financial advisor currently at RAVINE ROAD ADVISORS located in Greenwich, Connecticut.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

- River Road Advisors LLC - Credit Advisory Firm - Greenwich CT - Advising companies who are looking for credit facilities - Principal - No relation with other businesses - Q4 2023 - 30 hours a month - 1 hour per day - helping companies find private credit providers to satisfy their business expansion needs. Taurus Affiliates LLC - not investment related - White Plains NY - Online coupon and survey business - Partner - Q3 2023 - 10 hours per month - 1 hour per day - help with website design and client outreach 05/2024 to present; Entoro Capital, LLC; Houston, TX; Not Investment Related; Managing Director, Independent Contractor; spend 10% of time on this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Simon Barrett'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®

None

Experience

Current

October 18, 2023 - Present

RAVINE ROAD ADVISORS

RIA

CRD#: 328051

Greenwich, CT

Past

June 18, 2024 - December 24, 2024

ENTORO SECURITIES, LLC

CRD#: 35192

HOUSTON, TX

Past

October 22, 2019 - May 11, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

August 1, 2019 - May 11, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 1, 2019 - May 11, 2023

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

October 1, 2008 - September 21, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 1, 2001 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

October 13, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/17/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/4/2015

General Securities Sales Supervisor - Options Module Examination

Current Firm

RAVINE ROAD ADVISORS

RAVINE ROAD ADVISORS | RAVINE ROAD ADVISORS LLC

CRD#: 328051 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/18/2023 Approved)

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(646) 342-6930

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Paul S. Barrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Simon Barrett's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENTORO SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2019

Series 63

Date: 3/29/2001

SIE

Date: 9/21/2017

Series 7

Date: 10/12/2000

Series 10

Date: 12/17/2015

Series 9

Date: 8/4/2015

Current Firm

RAVINE ROAD ADVISORS

Contact information

Documents

Red Flags

Company Information

RAVINE ROAD ADVISORS

TRUST BUT VERIFY

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