Barbara Lynch Brandenburg
Professional Summary
Barbara Lynch Brandenburg, who also goes by Barbara Louise Brandenburg, was a registered financial advisor. Barbara was a previously registered financial professional and started their career in finance 1968 - 2001. Barbara had worked at 6 firms and has passed the Series 63, PC, Series 5, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Barbara Louise Brandenburg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
66 years in the financial services industry
Current & Past Employments
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Current Firm
MAY FINANCIAL CORPORATION | MAY, CULLUM, RAGLAND & BRITTAIN, INC.
Contact Information
Established
Texas since 07/26/1968Firm Type
CorporationFiscal Year End
JuneDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS GROUP, INC. | PARENT | — |
| BENNERS, FREDERICK HAGAMAN JR | CEO & PRESIDENT | 2213846 |
| HODGES, STACY MALINDA | VICE PRESIDENT/TREASURER/ CFO | 2544755 |
| KNOWLES, PHYLLIS JEAN | DIRECTOR OF COMPLIANCE | 1275616 |
| SYLVESTER, GORDON ANTHONY | SROP/CROP | 2638444 |
| TUBB, ALLEN R | SECRETARY | — |
| WADE, JEROME STEPHEN | VICE PRESIDENT/ GENERAL COUNSEL | 809998 |
Disclosures
Regulatory Event
5Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed May 1985Series 5 — Interest Rate Options Examination
Passed Feb 1982Series 1 — Registered Representative Examination
Passed Jun 1960Series 40 — Registered Principal Examination
Passed Feb 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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