Barbara Ross
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 Ross, who also goes by Barbara Irene Frawley, Barbara Frawley Ross, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1985. Barbara had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 82TO, Series 22TO, Series 6TO, Series 52TO, SIE, Series 7, Series 24, Series 39, Series 14, Series 28, Series 26 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2020 - April 19, 2021
WELLS FARGO SECURITIES, LLC
March 19, 2015 - January 3, 2019
J.P. MORGAN SECURITIES LLC
August 30, 2011 - March 19, 2013
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
February 24, 2005 - August 18, 2011
CITIGROUP GLOBAL MARKETS INC.
October 12, 2004 - February 7, 2005
WATCH HILL ADVISORS LLC
December 14, 2000 - October 10, 2002
NOLAN SECURITIES CORP.
July 29, 1997 - April 20, 1999
THE WILLIAMS CAPITAL GROUP, L.P.
February 19, 1997 - July 16, 1997
HUDSON KNIGHT SECURITIES, INC.
December 2, 1987 - April 4, 1995
LEHMAN BROTHERS INC.
January 14, 1987 - February 21, 1987
UBS FINANCIAL SERVICES INC.
August 20, 1985 - October 31, 1986
CHASE SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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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