Beth A. Semmel
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 Ann Semmel, who also goes by Beth Semmel Rodriguez, Beth Rodriguez, Beth A Semmel, was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 1994. Beth had worked at 7 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2008 - December 8, 2014
STONE HARBOR INVESTMENT PARTNERS, LLC
September 10, 2007 - January 4, 2012
ALPS DISTRIBUTORS, INC.
March 29, 2006 - April 6, 2006
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - April 6, 2006
FRANKLIN DISTRIBUTORS, LLC
September 1, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
June 19, 1998 - August 23, 2002
SALOMON BROTHERS ASSET MANAGEMENT INC
June 3, 1994 - September 1, 1998
SALOMON BROTHERS 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
Current Firm
STONE HARBOR INVESTMENT PARTNERS, LLC
CRD#: 138960 / SEC#: 801-65397
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 14,977,980,000 |
Red Flags
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