Marie E. Barnhart
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.
Marie E Barnhart, who also goes by Marie E Gardner, Marie E Laforte, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1995. Marie had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - November 30, 2020
STANFORD GROUP COMPANY
April 30, 2008 - November 7, 2008
STANFORD CAPITAL MANAGEMENT, LLC
September 8, 2004 - April 30, 2008
STANFORD GROUP COMPANY
August 20, 2004 - October 28, 2025
STANFORD GROUP COMPANY
October 20, 2000 - September 13, 2004
UBS FINANCIAL SERVICES INC.
October 20, 2000 - September 13, 2004
UBS FINANCIAL SERVICES INC.
August 14, 1995 - October 30, 2000
LEGG MASON WOOD WALKER, INCORPORATED
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STANFORD GROUP COMPANY
CRD#: 39285 / SEC#: 801-50374, 8-48611
Contact information
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
