Beth L. Baron
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.
Beth Lynn Baron, CFP®, who also goes by Beth Baron Jenkins, Beth Jenkins, Beth Wunderlich, was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 1986. Beth had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2000 - April 1, 2025
RICHMOND CAPITAL MANAGEMENT INC
January 1, 1998 - March 17, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
April 6, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1992 - April 6, 1992
BANC OF AMERICA SECURITIES LLC
November 13, 1986 - January 1, 1992
SOVRAN INVESTMENT CORPORATION
Primary Firm SEC Registration
RICHMOND CAPITAL MANAGEMENT INC
CRD#: 104636 / SEC#: 801-17534
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
RICHMOND CAPITAL MANAGEMENT INC
CRD#: 104636 / SEC#: 801-17534
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 6,139,393,000 |
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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