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JB

Johnathon A. Barrett

Some features on this profile are disabled
CRD#: 5913323
JB

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.

Johnathon Allen Barrett, who also goes by Johnathan Allen Barrett, was a registered financial professional .

Johnathon is a previously registered financial professional and started their career in finance in 2011. Johnathon had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Johnathan Allen Barrett

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

December 10, 2013 - June 2, 2017

DONNELLY PENMAN & PARTNERS

BD
CRD#: 104448
GROSSE POINTE WOODS, MI
Past

November 2, 2011 - February 5, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BIRMINGHAM, MI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/1/2011
Investment Banking Registered Representative Examination

Current Firm

DP
DONNELLY PENMAN & PARTNERS
DONNELLY PENMAN & PARTNERS | DONNELLY, PENMAN, FRENCH, HAGGARTY & CO. | DONNELLY PENMAN & PARTNERS INC.

CRD#: 104448 / SEC#: , 8-52909

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236
Mailing Address
63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236
Phone number
(313) 446-9900
Established
Michigan since 08/11/2000
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHRISTIANS, ANDREW CHARLESTREASURER5275038
CUNNINGHAM, GREGORY HSENIOR VICE PRESIDENT6009077
LAMB, JEREMY LOUISSECRETARY4577771
PENMAN, JAMES CARLCEO2407009
VORHEES, ROY WEBSTER IVSENIOR VICE PRESIDENT4350755
BERNARD, JOHN XAVIERASSOCIATE6828249
MOLITOR, MICHAEL ARTHURASSOCIATE7453889
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963
SHEA, THOMAS EDWARDFINOP2299633

Disclosures

Regulatory Event2

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.

Company Information

DONNELLY PENMAN & PARTNERS

CRD#: 104448

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