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Stephen Brooks Carlin

Barclays Capital Inc.

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About Stephen Brooks Carlin

Stephen Carlin is an investment banking professional with over 19 years of experience in the financial services industry. Stephen is currently registered with Barclays Capital Inc. and holds Series 7, 79TO, and SIE licenses, as well as a Series 63 license. Stephen has a strong track record of success in the investment banking industry, having previously worked at Lehman Brothers Inc. and Morgan Stanley & Co., Incorporated. Stephen is committed to providing his clients with the highest level of service and expertise.

Firm Information

Stephen Carlin 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 Carlin’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

09/02/2004 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

02/26/2004 - 09/03/2004

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/25/2004

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 Brooks Carlin.
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