Barbara S. Edgemon
Professional summary
Barbara Sue Edgemon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Barbara is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Barbara had worked at 2 firms, which includes KMS FINANCIAL SERVICES INC., METROPOLITAN INVESTMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1995 - February 29, 2000
KMS FINANCIAL SERVICES, INC.
August 30, 1993 - March 27, 1995
METROPOLITAN INVESTMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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