Adrian R. Barr
Professional summary
Adrian Robert Barr was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adrian is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Adrian had worked at 7 firms, which includes TRUIST INVESTMENT SERVICES INC., PFS INVESTMENTS INC., TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, CONCOURSE FINANCIAL GROUP SECURITIES INC., NEW ENGLAND SECURITIES, WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2012 - April 21, 2014
TRUIST INVESTMENT SERVICES, INC.
February 28, 2012 - April 21, 2014
TRUIST INVESTMENT SERVICES, INC.
July 22, 2011 - February 21, 2012
PFS INVESTMENTS INC.
July 20, 2011 - February 21, 2012
PFS INVESTMENTS INC.
March 26, 2010 - March 21, 2011
TD AMERITRADE, INC.
March 26, 2010 - March 21, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 26, 2010 - March 21, 2011
TD AMERITRADE, INC.
November 17, 2009 - April 23, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 13, 2009 - November 9, 2009
NEW ENGLAND SECURITIES
November 15, 2006 - July 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2006 - July 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
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
Current Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
Red Flags
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