Barbara M. Clemons
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 Marie Clemons, CFP®, ChFC®, CLU®, who also goes by Barbara M Bittner, Barbara Marie Bittner, Barbara M Fry, Barbara Marie Fry, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1987. Barbara had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
Start date: 1992
Experience
August 3, 2021 - July 14, 2025
LPL FINANCIAL LLC
October 1, 2015 - November 1, 2016
LPL FINANCIAL LLC
March 7, 2011 - June 27, 2025
ESL INVESTMENT SERVICES, LLC
March 2, 2011 - July 14, 2025
LPL FINANCIAL LLC
October 13, 2010 - February 24, 2011
MML INVESTORS SERVICES, LLC
June 7, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 7, 2006 - January 13, 2010
MSI FINANCIAL SERVICES, INC.
August 19, 2002 - August 19, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 19, 2002 - August 19, 2004
OSAIC FA, INC.
September 8, 2000 - December 7, 2000
MANNING & NAPIER INVESTOR SERVICES, INC.
June 1, 1998 - June 15, 2000
OSAIC FA, INC.
June 21, 1994 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 31, 1993 - April 11, 1994
CAPITAL BROKERAGE CORPORATION
April 16, 1990 - February 11, 1992
ENSEMBLE FINANCIAL SERVICES, INC.
March 24, 1987 - April 22, 1988
EMPIRE NATIONAL SECURITIES, INCORPORATED
January 19, 1987 - March 30, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
