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Robert Douglas Barry

CRD# 4439253·Registered 2001 - 2020
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Douglas Barry, who also goes by Robert D Barry, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 2001 - 2020. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 6, Series 87, Series 86 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert D Barry

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

THE BUCKINGHAM RESEARCH GROUP INCORPORATED·CRD# 13233
BD
New York, NY
July 18, 2018 - March 24, 2020
SUSQUEHANNA FINANCIAL GROUP, LLLP·CRD# 35865
BD
New York, NY
December 19, 2013 - June 25, 2018
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
July 1, 2010 - October 9, 2013
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
November 14, 2001 - April 2, 2008

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Current Firm

TB
THE BUCKINGHAM RESEARCH GROUP INCORPORATED

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CRD#: 13233 / SEC#: 8-28508
BD
Terminated by SEC on 06/15/2020

Contact Information

Established

Delaware since 10/19/1982

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
KEIDAN, DAVID BERNARDNON-EXECUTIVE CHAIRMAN266250
AMATURO, JOSEPH CIROCEO AND PRESIDENT, DIRECTOR2936222
ATTANASIO, ELIZABETH MARIEFINANCIAL/OPERATIONS PRINCIPAL5325007
GOLDSTEIN, PETER DCHIEF COMPLIANCE OFFICER2898210
GOLDSTEIN, PETER DCHIEF LEGAL OFFICER, DIRECTOR2898210

Disclosures

Regulatory Event

5

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2010About the Series 6 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Jul 2010About the Series 87 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Dec 2004About the Series 86 exam

Series 7 — General Securities Representative Examination

Passed Nov 2001About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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