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Barbara Ruth Saunders

CRD# 1540928·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Barbara 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.

Professional Summary

Barbara Ruth Saunders was a registered financial advisor. Barbara was a previously registered financial professional and started their career in finance 1986 - 2012. Barbara had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

SAUNDERS AND ASSOCIATES·CRD# 120544
RIA
Flower Mound, TX
May 11, 2005 - December 11, 2012
LPL FINANCIAL LLC·CRD# 6413
RIA
Fort Worth, TX
May 21, 2004 - December 31, 2013
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Worth, TX
May 7, 2004 - December 31, 2013
CARTER ADVISORY SERVICES, INC·CRD# 116249
RIA
Flower Mound, TX
July 12, 1995 - December 31, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
July 1, 1993 - May 19, 2004
KEOGLER, MORGAN & COMPANY, INC.·CRD# 16546
BD
Atlanta, GA
August 21, 1986 - July 2, 1993

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Current Firm

SA
SAUNDERS AND ASSOCIATES

BARBARA SAUNDERS & ASSOCIATES, LLC | BARBARA SAUNDERS AND ASSOCIATES, LLC | CARTER FINANCIAL MANAGEMENT | SAUNDERS AND ASSOCIATES | SAUNDERS, BARBARA RUTH

CRD#: 120544

Contact Information

Main Address

2281 Olympia Dr, Suite 100, Flower Mound, TX 75028

Documents

Latest Form ADV

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2004About the Series 24 exam

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CRS (Client Relationship Summary)

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

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