Patricia D. Barry
Professional summary
Being a previously registered professional could mean that this person 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.
Patricia D Barry, who also goes by Patricia Dawn Barry, Patricia Barry, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2009. Patricia had worked at 3 firms and has passed the SIE, Series 56 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2021 - September 29, 2022
GREAT POINT CAPITAL LLC
January 7, 2019 - June 13, 2019
T3 TRADING GROUP, LLC
January 22, 2015 - January 30, 2017
T3 TRADING GROUP, LLC
April 3, 2009 - May 29, 2009
NEW ENGLAND SECURITIES
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 56
Date: 1/22/2015
Proprietary Trader Qualification ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
