Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barry? Claim Your ProfileBarry William Smith is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Barry has been in the securities industry since January 7, 1990. Barry is currently registered as a broker-dealer and an investment advisor representative in Colorado and Texas. Barry was previously employed at Westcap Securities, L.P. and Westcap Government Securities, Inc. among other firms. Barry has passed the Series 63, 65, 7, 9, 31 and SIE exams. Barry William Smith is also registered with the following states: Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Iowa, Louisiana, Massachusetts, Michigan, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Virginia and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
12/18/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
11/20/1996 - 11/04/1997
SPIRES FINANCIAL, L.P. (HOUSTON TX)
CA
09/19/1995 - 11/11/1996
GRIGSBY, BRANDFORD & CO., INC. (SAN FRANCISCO CA)
TX
04/12/1995 - 08/24/1995
SOUTHWEST SECURITIES, INC. (DALLAS TX)
TX
10/25/1989 - 04/24/1995
WESTCAP SECURITIES, L.P. (HOUSTON TX)
NA
10/25/1989 - 08/24/1994
WESTCAP GOVERNMENT SECURITIES, INC.
IA
Issued 12/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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