Barbara A. Boren
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barbara Alice Boren, who also goes by Alice Barbara Oneill, Barbara Alice Oneill, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 2 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2006 - September 24, 2013
KMS FINANCIAL SERVICES, INC.
July 21, 1989 - September 24, 2013
KMS FINANCIAL SERVICES, INC.
January 25, 1984 - July 22, 1987
KMS FINANCIAL SERVICES, INC.
January 26, 1982 - February 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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