Form CRS - Relationship Summary
Regulation Best Interest Disclosure
Form ADV - Investment Adviser Brochure
Business Continuity Plan
Registrations We are registered as a broker-dealer in the following U. S. states: Arizona, California, Connecticut, Florida, Georgia, Illinois, Maine, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington.
We are registered as an investment adviser with the Securities and Exchange Commission (SEC).
Clearing ArrangementsWe utilize the clearing and execution services of National Financial Services, LLC, a Fidelity Investments company.
Member FINRA, MSRB, SIPCFor more information on FINRA please visit www.finra.orgFor more information on MSRB please visit www.msrb.orgFor more information on SIPC please visit www.sipc.org or call (202) 371-8300.
Order Routing – SEC Rule 606
Order Flow Practices – SEC Rule 607Barrett & Company is a customer of National Financial Services LLC (NFS) where NFS provides certain securities clearance services. Barrett & Company does not receive compensation for directing order flow.
Notice of Identity Verification
Margin Disclosure of Credit Terms
Options Disclosure Document
Performance: Future performance of any specific investment or investment strategy cannot be guaranteed, including the investments and investment strategies recommended by Barrett & Company.
Reliance on Information Provided: Barrett & Company relies upon information provided by you, including your personal / financial information. This information forms the basis of our relationship and is used to determine your investment objectives and investment suitability. Accordingly, in theevent that any such information provided is inaccurate or incomplete, the corresponding results or recommendations will be inaccurate or incomplete. Your information may change periodically and can impact your financial situation and / or investment objectives. Therefore, it is important that you notify us of any changes so that we may update our records and review your portfolio.
Projection Limitations: Projections are based on various assumptions and are therefore hypothetical in nature and in no way guarantee results. Materially different results could occur at any specific point in time or over any specific time-period. The purpose of the projections is to provide broad and general guidelines to help determine which scenario best meets current and/or anticipated financial situations and/or objectives.