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DB

Donald W. Barker

Some features on this profile are disabled
CRD#: 874889
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 Warne Barker was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1979. Donald had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

October 24, 2012 - October 11, 2013

STOUT CAPITAL, LLC

BD
CRD#: 127302
HOUSTON, TX
Past

January 10, 2000 - October 12, 2012

COWEN SECURITIES, LP

BD
CRD#: 46834
DALLAS, TX
Past

September 4, 1990 - September 20, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 9, 1988 - September 4, 1990

LOVETT UNDERWOOD NEUHAUS & WEBB, INC.

BD
CRD#: 22540
Past

October 13, 1982 - October 29, 1988

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
Past

December 3, 1979 - October 26, 1982

ROTAN MOSLE INC.

BD
CRD#: 727

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: 1/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2000
General Securities Principal Examination

Current Firm

SC
STOUT CAPITAL, LLC
STOUT CAPITAL, LLC | STOUT RISIUS ROSS ADVISORS, LLC

CRD#: 127302 / SEC#: , 8-65979

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

Main Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Mailing Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Phone number
(248) 208-8800
Established
Michigan since 05/15/2003
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STOUT RISIUS ROSS, LLC100% OWNER OF STOUT CAPITAL, LLC
BARRESE, PAUL JOSEPHCHIEF COMPLIANCE OFFICER5131266
MANNING, KEVIN SCEO & PRESIDENT4700945
THIES, RYAN DAVIDFINOP5766932

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

STOUT CAPITAL, LLC

CRD#: 127302

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