Sean T. Barron
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.
Sean Thomas Barron, CFP®, who also goes by Sean Thomas R Barron, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2005. Sean had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
July 20, 2007 - March 25, 2019
SIMMONS FIRST INVESTMENT GROUP, INC.
November 10, 2005 - August 7, 2007
FINANCIAL LEGACY MANAGEMENT, NC.
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
Current Firm
SIMMONS FIRST INVESTMENT GROUP, INC.
CRD#: 47439 / SEC#: 801-108161, 8-51795
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMMONS BANK | 100% OWNER | |
| CASTEEL, MARTY DALE | DIRECTOR | |
| CLEMENT, JOE WINTERS III | DIRECTOR | 1305699 |
| CURZON, WILLIAM CARY | PRESIDENT | |
| FEHLMAN, ROBERT A | DIRECTOR | |
| JOHNSON, ANGELA LEIGH | CHIEF FINANCIAL OFFICER | 5389137 |
| JOHNSON, RICHARD WAYNE | DIRECTOR | 260111 |
| TAPPAN, PHILIP ANDREW | DIRECTOR | 1197696 |
| WITT, LAURA LEA | CCO | 5699623 |
Disclosures
| Regulatory Event | 2 |
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.
