Barbara A. Collins
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 Ann Collins, CFP®, who also goes by Barbara Ann Pettis, Barbara A Zorich, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1983. Barbara had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2021 - June 17, 2024
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.
January 24, 2017 - November 14, 2018
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.
July 14, 2015 - July 22, 2015
TD AMERITRADE, INC.
July 10, 2015 - July 22, 2015
TD AMERITRADE, INC.
July 10, 2015 - July 22, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 31, 2010 - January 14, 2014
FIDELITY BROKERAGE SERVICES LLC
March 29, 2010 - January 14, 2014
STRATEGIC ADVISERS LLC
January 23, 2002 - July 23, 2008
CHARLES SCHWAB & CO., INC.
October 24, 2001 - July 23, 2008
CHARLES SCHWAB & CO., INC.
November 26, 1996 - March 8, 2001
CHARLES SCHWAB & CO., INC.
January 20, 1992 - November 22, 1996
FIDELITY BROKERAGE SERVICES LLC
September 16, 1991 - January 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1990 - January 1, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 9, 1988 - June 14, 1990
FIDELITY BROKERAGE SERVICES LLC
July 20, 1983 - October 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.
CRD#: 107326 / SEC#: 801-57272
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
Series 8
Date: 12/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BEDELL FRAZIER INVESTMENT COUNSELLING, LLC.
CRD#: 107326 / SEC#: 801-57272
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,890 |
| AUM (Assets Under Management) | $ 805,092,901 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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