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DB

Donald J. Barrand

Some features on this profile are disabled
CRD#: 6357236
DB

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.

Donald Joshua Barrand, who also goes by Donald J Barrand, Donald Joshua Barrand, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2014. Donald had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald J Barrand | Donald Joshua Barrand

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

January 28, 2019 - February 4, 2019

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
Phoenix, AZ
Past

November 22, 2017 - November 15, 2018

FIRST COMMAND ADVISORY SERVICES

RIA
CRD#: 281958
Scottsdale, AZ
Past

November 20, 2017 - November 15, 2018

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
Scottsdale, AZ
Past

July 29, 2016 - June 22, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LONE TREE, CO
Past

July 29, 2016 - June 22, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LONE TREE, CO
Past

January 29, 2016 - August 1, 2016

CETERA ADVISORS LLC

RIA
CRD#: 10299
FORT COLLINS, CO
Past

January 29, 2016 - August 1, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
FORT COLLINS, CO
Past

July 2, 2015 - November 17, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

December 18, 2014 - November 17, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ

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
IAR
Series 66
Date: 7/1/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2014
General Securities Representative Examination

Current Firm

GC
GRIFFIN CAPITAL SECURITIES, LLC
GRIFFIN CAPITAL | HIGHLAND CAPITAL GROUP | HIGHLAND CAPITAL | GRIFFIN CAPITAL SECURITIES, LLC | GRIFFIN CAPITAL SECURITIES, INC.

CRD#: 37739 / SEC#: , 8-47891

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2010 Main Street Suite 530, Irvine, CA 92614
Mailing Address
2010 Main Street Suite 530, Irvine, CA 92614
Phone number
(949) 270-9300
Established
Delaware since 09/28/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
GOOD, ALBACCO2504071
ISHIOKA, RODNEY SHOJISECRETARY3124257
LANG, TUAN HUUFINOP6682817
WALKER, JACOB FREDERICKCEO & CHAIRMAN OF THE BOARD5020296

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

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

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