Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J. Barrett is a financial advisor with Baron Capital, Inc. James has over 20 years of experience in the financial services industry. James holds the Series 6, 7, 24, 26, 63 and SIE licenses. James is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered in 42 states. James has previously worked at BEAR, STEARNS & CO. INC. and NORTHERN TRUST SECURITIES, INC.
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.
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.
1
2
NY
02/05/2011 - Present
Baron Capital, Inc. (NEW YORK NY)
NY
06/07/2007 - 07/01/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IL
06/29/1999 - 05/17/2004
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
BC
Issued 10/07/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/25/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/28/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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