Stephen Barrett has been Member of Board of Managers of Wainwright Investment Counsel since January 2005, is a control person of the firm and directly owns between 5% and 10% of it. Stephen Barrett holds a B.A. in fine arts from the College of William & Mary.
Wainwright Investment Counsel LLC is a Boston, MA firm with $5.52B under management, 214 clients and 10 advisers in one office, as of its September 2026 filing.
Stephen Barrett is Member of Wainwright Board and Investment Advisor of Wainwright Investment Counsel. Barrett joined Wainwright in 2005. Before that, Barrett was chairman and CEO of Wainwright's predecessor firm, H.C. Wainwright & Co., Inc., and earlier was employed by Alex. Brown & Sons Incorporated for approximately fourteen years and Merrill Lynch, Pierce, Fenner & Smith, Inc. for approximately ten years.
Stephen Barrett’s longest registration is the current one, 27 years at Wainwright Investment Counsel since 1999. Before joining Wainwright Investment Counsel in 1999, Stephen Barrett was registered through Wainwright H C & Co Inc.
- – present · 27 yearsBoston, MA · Adviser representative · Firm CRD 108711
- Wainwright H C & Co Inc– · 9 yearsBoston, MA · Adviser representative · Firm CRD 375
Investment adviser representative registrations
Stephen Barrett is registered as an investment adviser representative in 2 states. The first approvals date from August 1999; the most recent is Florida, in April 2022.
- FloridaSince 6 April 2022
- MassachusettsSince 14 August 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 24 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 February 1995 |
| Series 41 | NYSE Allied Member Examination | 17 September 1983 |
| PC | AMEX Put and Call Exam | 4 October 1978 |
| Series 40 | Registered Principal Examination | 7 April 1977 |
| Series 1 | Registered Representative Examination | 3 June 1966 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- NYSE Allied Member Examination
- Name
- AMEX Put and Call Exam
- Name
- Registered Principal Examination
- Name
- Registered Representative Examination
- Full name
- Stephen Dalton Barrett
- CRD
- 13479
- Firm
- Wainwright Investment Counsel · CRD 108711
- Role
- Member of Board of Managers
- Office
- ONE BOSTON PLACE, 41ST FLOOR, Boston, MA 02108
- Registration
- Investment adviser registration
- In the industry since
- February 1967
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- winvcounsel.com
Where does Stephen Barrett work?
Stephen Barrett has been Member of Board of Managers of Wainwright Investment Counsel LLC since January 2005, and is a control person of the firm.
Is Stephen Barrett a financial advisor?
Yes. Stephen Barrett has a current investment-adviser registration in Florida and Massachusetts, through Wainwright Investment Counsel since August 1999.
How many years of experience does Stephen Barrett have?
Stephen Barrett has 59 years in the financial industry, since February 1967, across 2 adviser firms.
What exams has Stephen Barrett passed?
Stephen Barrett has passed 8 licensing exams: the Series 1, Series 40, PC, Series 41, Series 65, Series 63, Series 24 and Series 7TO. The earliest, the Series 1, was passed in June 1966. FINRA credited Stephen Barrett with the SIE, which began in October 2018.
Where is Stephen Barrett based?
Stephen Barrett’s registered office is in Boston, MA.
Is Stephen Barrett registered with FINRA?
No. Stephen Barrett has no current broker registration.
How can I verify Stephen Barrett’s record?
Search CRD 13479 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Barrett’s full registration record.
Eric BertonazziChairman of Board of Managers, Chief Executive Officer, Chief Investment Officer
Gustavo AristizabalMember of Board of Managers, President and Corporate Secretary
Paul MartinsMember of Board of Managers, Chief Financial & Administrative Officer
Matthew SeneyChief Operating Officer, Deputy Chief Investment Officer- Christopher MortaraChief Compliance Officer