BARRETT & COMPANY, INC. of PROVIDENCE, RI is an SEC-registered investment adviser (CRD 1175). Regulatory assets under management: $529.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Wilson Gordon Ii Saville | PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER, & CHIEF FINANCIAL OFFICER | — |
| SAVILLE WILSON GORDON II | PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER, & CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-03-23 | regulatory | ALLEGATIONS TO FIRM ARE THAT THE RESPONDENT INACCURATELY REPORTED SHARE PRICES OF BUY AND SELL SHARES OF ZOOM ON 12/22/2010 AND 12/27/2010 TO OATS. FINDINGS ARE THAT THE FIRM VIOLATED FINRA RULES 7450, 7440, 2010, 7460, 2020, 5310(A), 2440, 2010, 3010(B)(1), SECURITIES DIVISION REGULATIONS RULE 212(… | Final | $10K |
| 2002-02-25 | regulatory | FAILURE TO REPORT 2 LAST SALE REPORTS THRU ACT,WITHIN 90 SECONDS,OF TRANSACTIONS IN NASDAQ NATIONAL MARKET SECURITIES AND FAILED TO DESIGNATE TRADES AS LATE.-VIOLATION OF NASD MARKETPLACE RULE 4632(A) FAILURE TO REPORT 3 LAST SALE REPORTS THRU ACT, WITHIN 90 SECONDS, OF TRANSACTIONS IN NASDAQ SMALLC… | Final | $5K |