Barbara J. Simons

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CRD#: 1036911

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 Jean Dull Simons, who also goes by Barbara Jean Dull, Barbara Jean Dull Simons, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Barbara Jean Dull | Barbara Jean Dull Simons

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 2/13/2013 - Stratos Wealth Partners, Ltd - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 11/2008 - Time Spent 100% - I provide investment advisory services through Stratos Wealth Partners, Ltd, an independent investment advisor firm. I started this business activity in 11/2008. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 6/13/2017 - Stratos Wealth Partners, Ltd - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/08/2008 - 160 Hours Per Month During Securities Trading. 3. 3/29/2021 - Stratos Wealth Securities, LLC - Investment Related - At Reported Business Location(s) - Other-Limited Purpose Broker Dealer - Chief Compliance Officer - Started 03/12/2021 - 2 Hours Per Month During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 10, 2021 - December 31, 2024

STRATOS WEALTH SECURITIES, LLC

CRD#: 290230

BEACHWOOD, OH

Past

September 18, 2013 - September 25, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLUMBUS, OH

Past

August 13, 2010 - December 31, 2024

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

BEACHWOOD, OH

Past

December 2, 2008 - October 7, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

COLUMBUS, OH

Past

December 2, 2008 - January 9, 2025

LPL FINANCIAL LLC

CRD#: 6413

COLUMBUS, OH

Past

August 25, 2000 - November 4, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

CLEVELAND, OH

Past

August 21, 2000 - June 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 21, 2000 - November 4, 2008

OSAIC FA, INC.

CRD#: 3978

CLEVELAND, OH

Past

April 17, 2000 - May 22, 2000

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

May 13, 1993 - April 14, 2000

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

May 6, 1986 - May 13, 1993

TEXAS COMMERCE BROKERAGE

CRD#: 17124

Past

December 13, 1982 - August 22, 1983

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Past

July 8, 1982 - June 12, 1985

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

April 29, 1982 - February 24, 1983

AMERICAN CAPITAL MARKETING, INC.

CRD#: 6699

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/30/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/27/1995

Registered Options Principal Examination

Current Firm

STRATOS WEALTH SECURITIES, LLC

CRD#: 290230 / SEC#: , 8-70019

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

3750 Park East Drive Suite 200, Beachwood, OH 44122

Mailing Address

3750 Park East Drive Suite 200, Beachwood, OH 44122

Phone number

(440) 505-5639

Established

Ohio since 07/24/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STRATOS INTERMEDIATE HOLDCO LLC	OWNER
BURNS, DOUGLAS ALAN	CCO	4824998
CONCEPCION, JEFFREY ALAN	PRESIDENT/CEO	1899367
MANZO, MARK THOMAS	FINOP	1229739

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Barbara J. Simons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

STANFORD GROUP COMPANY

J.P. MORGAN SECURITIES OF TEXAS, INC.

TEXAS COMMERCE BROKERAGE

CHARLES SCHWAB & CO., INC.

ADVANTAGE CAPITAL CORPORATION

AMERICAN CAPITAL MARKETING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/2014

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1982

Series 24

Date: 11/21/1995

Series 4

Date: 9/27/1995

Current Firm

STRATOS WEALTH SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STRATOS WEALTH SECURITIES, LLC

TRUST BUT VERIFY

Contact information

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