Barbara A. Arndt

ARNDT FINANCIAL SERVICES LLC

Fayetteville, NY

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CRD#: 2623171

Professional summary

Barbara Ann Arndt, who also goes by Barbara Bennett, Barbara Demonte, is a registered financial advisor currently at ARNDT FINANCIAL SERVICES LLC located in Fayetteville, New York and LEIGH BALDWIN & CO., LLC located in Cazenovia, New York.

Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Barbara has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barbara Bennett | Barbara Demonte

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

2/06- TERM LIFE & FIXED ANNUITIES THROUGH LEAD BROKERAGE, 10% OF TIME SPENT ON THIS ACTIVITY; NO OWNERSHIP;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Ann Arndt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 24, 2009 - Present

ARNDT FINANCIAL SERVICES LLC

RIA

CRD#: 139918

Fayetteville, NY

Current

February 10, 2006 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 112 Albany Street, Cazenovia, NY 13035

RIA

CRD#: 38751

Cazenovia, NY

Past

July 14, 2006 - November 11, 2008

ARNDT FINANCIAL SERVICES LLC

RIA

CRD#: 139918

E. SYRACUSE, NY

Past

July 12, 2006 - October 23, 2006

ARNDT FINANCIAL SERVICES LLC

RIA

CRD#: 139918

EAST SYRACUSE, NY

Past

February 11, 2002 - February 15, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MINOA, NY

Past

June 5, 2001 - February 15, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 13, 1996 - June 5, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 13, 1995 - January 3, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 13, 1995 - January 3, 1996

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/11/2012)

Florida
(2/10/2006)

IAR

Florida
(9/24/2009)

New Jersey
(3/14/2023)

New York
(2/10/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARNDT FINANCIAL SERVICES LLC

ARNDT FINANCIAL SERVICES | BARBARA ARNDT | BARBARA ANN ARNDT | ARNDT FINANCIAL SERVICES, LLC | ARNDT FINANCIAL SERVICES LLC

CRD#: 139918 / SEC#: 801-66423

RIA

Registered Investment Advisory firm - (10/23/2006 Terminated)

Florida

Registered Investment Advisory firm - (9/24/2009 Approved)

New York

Registered Investment Advisory firm - (10/13/2006 Approved)

Texas

Registered Investment Advisory firm - (11/11/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - (11/19/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Fayetteville, NY

Mailing Address

Po Box 837, Fayetteville, NY 13066

Phone number

(315) 637-8685

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 3,936,502

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.

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Firm Stability Insights

Barbara A. Arndt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barbara Ann Arndt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

ARNDT FINANCIAL SERVICES LLC

ARNDT FINANCIAL SERVICES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2002

Series 63

Date: 8/14/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/11/1996

Series 6

Date: 6/12/1995

FINRA

Current Firm

ARNDT FINANCIAL SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARNDT FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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