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Stephen Brian Dainton

Barclays Capital Inc.

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About Stephen Brian Dainton

Stephen Brian Dainton is a financial advisor who has been in the industry since December 10, 1998. Stephen is currently registered with Barclays Capital Inc. Stephen has also been registered with Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., Credit Suisse First Boston Corporation and Donaldson, Lufkin & Jenrette Securities Corporation. Stephen holds Series 7, Series 9, Series 10, Series 63 and SIE licenses.

Firm Information

Stephen Dainton 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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Stephen Dainton’s Registration & Firm History

NY

09/18/2018 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

07/11/2003 - 10/02/2014

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

01/19/2001 - 06/27/2003

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

10/10/2000 - 12/01/2000

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NJ

10/26/1994 - 10/10/2000

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 02/08/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/19/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/04/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Stephen Brian Dainton.
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