Barbara A. Simpson
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.
Barbara Ann Simpson was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1973. Barbara had worked at 3 firms and has passed the Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1985 - August 17, 1993
WINCANTON PARTNERS
January 15, 1981 - June 9, 1983
NEW ENGLAND CLEARING CORP.
April 30, 1973 - January 25, 1983
EPB, 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
Series 40
Date: 12/2/1978
Registered Principal ExaminationF04
Date: 2/12/1977
Financial Principal ExaminationCurrent Firm
WINCANTON PARTNERS
CRD#: 10464 / SEC#: , 8-22422
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, DAVID YOE SR | PRESIDENT | 467599 |
| WILLIAMS, CHRISTOPHER YOE SR | VICE PRESIDENT |
Disclosures
| Regulatory Event | 1 |
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.
