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Richard Spowart

Barclays Capital Inc.

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About Richard Spowart

Richard Spowart is a financial professional with over 16 years of experience in the industry. He is currently registered with Barclays Capital Inc. Richard has also previously held positions at Dresdner Kleinwort Securities LLC. Richard holds the Series 16 exam and is currently active in the BrokerCheck database.

Firm Information

Richard Spowart is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Spowart’s Registration & Firm History

NY

05/28/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

02/27/2007 - 05/30/2008

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/27/2007

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard Spowart.
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