James B. Barker
Professional summary
James Barnett Barker, who also goes by James Barnett Barker Mr., James Barker, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Barnett Barker's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2026 - Present
ACADEMY SECURITIES, INC.
Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017January 9, 2026 - April 29, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 23, 2018 - March 6, 2019
GARDEN STATE SECURITIES, INC.
May 19, 2016 - August 24, 2016
EQUITABLE ADVISORS, LLC
May 26, 2005 - March 28, 2016
AMG DISTRIBUTORS, INC.
February 23, 2004 - April 18, 2005
UBS FINANCIAL SERVICES 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 7TO
Date: 1/9/2026
General Securities Representative ExaminationFINRA
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (41 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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