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FIRM PROFILE
Overview
BARCLAYS CAPITAL INC. is located at 745 7th Avenue, New York, NY 10019-6801 and was first established at New York, Connecticut in 03/30/1998. After operating for 28 years, BARCLAYS CAPITAL INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of BARCLAYS CAPITAL INC.’s clients are individuals and 0% of their clients are high net worth individuals. BARCLAYS CAPITAL INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at BARCLAYS CAPITAL INC. are registered to handle securities or provide financial advice. The firm has 145 disclosures, 141 being regulatory events, 4 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access BARCLAYS CAPITAL INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at BARCLAYS CAPITAL INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for BARCLAYS CAPITAL INC. Comes From
Understanding the Statistics for BARCLAYS CAPITAL INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
745 7th Avenue, New York, NY 10019-6801
745 7th Avenue, New York, NY 10019
Large
(212) 526-7000
Connecticut since 03/30/1998
Corporation
December
FIRM DOCUMENTS
Part 2 Brochures
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | ||
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 | |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 | |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 | |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 | |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 | |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 | |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 | |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 | |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 | |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
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Advisor's working at BARCLAYS CAPITAL INC.
Manan Rajesh Thakkar
Lily Yee
Donald Dominic Tiburzi II
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