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Barry A. Bevan

Some features on this profile are disabled
CRD#: 1276384
BB

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.

Barry Arthur Bevan was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1984. Barry had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

April 19, 2018 - June 14, 2018

EQUUS FINANCIAL CONSULTING LLC

BD
CRD#: 131449
NEW CANAAN, CT
Past

March 25, 2017 - December 12, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SACRAMENTO, CA
Past

March 25, 2017 - December 12, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SACRAMENTO, CA
Past

November 8, 2013 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SACRAMENTO, CA
Past

November 8, 2013 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SACRAMENTO, CA
Past

December 10, 2008 - November 14, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
SACRAMENTO, CA
Past

December 5, 2008 - November 14, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
SACRAMENTO, CA
Past

April 3, 2007 - December 10, 2008

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
SACRAMENTO, CA
Past

August 20, 2004 - December 10, 2008

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
SACRAMENTO, CA
Past

October 28, 2002 - August 24, 2004

NEW ENGLAND SECURITIES

RIA
CRD#: 615
FOSTER CITY, CA
Past

July 7, 1998 - August 24, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

October 1, 1997 - June 2, 1998

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

April 24, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

November 3, 1993 - May 23, 1996

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

August 15, 1987 - November 8, 1993

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

July 3, 1984 - June 26, 1987

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082

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
IAR
Series 65
Date: 10/25/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/2/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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.

Company Information

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449

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