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Travis Bentley Finkle

Barclays Capital Inc.

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About Travis Bentley Finkle

Travis Bentley Finkle is an active Broker-Dealer (BC) in Boston, Massachusetts with Barclays Capital Inc. Travis has been in the industry since January 30, 2002. Travis has licenses for Series 6, Series 7 and Series 66. Travis is registered in 53 states and holds 25 SRO registrations. Previously Travis worked at DEUTSCHE BANK SECURITIES INC., SOLEIL SECURITIES CORPORATION, UBS FINANCIAL SERVICES INC. and PIONEER FUNDS DISTRIBUTOR, INC..

Firm Information

Travis Finkle 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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Travis Finkle’s Registration & Firm History

MA

07/17/2018 - Present

Barclays Capital Inc. (BOSTON MA)

MA

06/02/2006 - 07/12/2018

DEUTSCHE BANK SECURITIES INC. (BOSTON MA)

MA

05/12/2004 - 05/30/2006

SOLEIL SECURITIES CORPORATION (BOSTON MA)

NJ

07/01/2002 - 05/26/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

MA

08/13/2001 - 01/16/2002

PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 11/05/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/27/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/11/2001

Series 6 - Investment Company Products/Variable Contracts 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 Travis Bentley Finkle.
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