Barry A. Bates
Professional summary
Barry Alan Bates was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barry is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Barry had worked at 6 firms, which includes TAMARON INVESTMENTS INC., BRENNAN ROSS SECURITIES INC., ROYCE PARK INVESTMENTS INC., J. W. GANT & ASSOCIATES INC., CHESLEY AND DUNN INC., OTC NET INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1991 - June 25, 1993
TAMARON INVESTMENTS, INC.
November 10, 1986 - December 17, 1990
BRENNAN ROSS SECURITIES, INC.
July 10, 1985 - October 31, 1986
ROYCE PARK INVESTMENTS, INC.
December 6, 1984 - June 17, 1985
J. W. GANT & ASSOCIATES, INC.
July 18, 1981 - December 10, 1984
CHESLEY AND DUNN, INC.
December 29, 1980 - July 17, 1981
OTC NET INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TAMARON INVESTMENTS, INC.
CRD#: 14929 / SEC#: , 8-31412
Contact information
Documents
Red Flags
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