Ekaterina Baron
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.
Ekaterina Baron, who also goes by Ekaterina V. Aleksandrova, Ekaterina V. Baron, Katya Baron, was a registered financial professional .
Ekaterina is a previously registered financial professional and started their career in finance in 2001. Ekaterina had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2017 - November 25, 2019
ASHTON STEWART & CO., INC.
August 12, 2013 - May 12, 2015
STERNE, AGEE & LEACH, INC.
October 16, 2008 - April 19, 2013
GLEACHER & COMPANY SECURITIES, INC.
July 15, 2008 - October 16, 2008
BROADPOINT DESCAP
September 3, 2003 - May 23, 2007
BARCLAYS CAPITAL INC.
May 7, 2001 - October 29, 2002
J.P. MORGAN SECURITIES INC.
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
ASHTON STEWART & CO., INC.
CRD#: 112386 / SEC#: , 8-53239
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASHTON STEWART INTERNATIONAL HOLDINGS, LLC | SHAREHOLDER | |
| BURMAN, ANATOLY | CEO/CCO | 1652002 |
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.
