Barbara A. Withers
Professional summary
Barbara Anne Marie Withers is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
Barbara is registered as a RR (Registered Representative) and started their career in finance in 1998. Barbara has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Barbara Anne Marie Withers's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2011 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286June 1, 2010 - June 20, 2011
INVESCO DISTRIBUTORS, INC.
April 28, 1998 - June 1, 2010
INVESCO CAPITAL MARKETS, 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
(3/5/2012)
(3/5/2012)
(3/5/2012)
(6/22/2011)
(3/5/2012)
(3/5/2012)
(3/5/2012)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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