Barbara-ann Boehler
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 Boehler was a registered financial professional .
Barbara-ann is a previously registered financial professional and started their career in finance in 2002. Barbara-ann had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2010 - October 7, 2015
ARETE RESEARCH LLC
January 11, 2007 - March 12, 2010
BARINGS SECURITIES LLC
May 31, 2006 - December 31, 2006
MELLON FUNDS DISTRIBUTOR, L.P.
July 18, 2005 - May 16, 2006
FIDELITY BROKERAGE SERVICES LLC
August 15, 2003 - June 9, 2005
BROWNCO, LLC
June 11, 2003 - August 21, 2003
FIDELITY DISTRIBUTORS CORPORATION
September 19, 2002 - August 21, 2003
FIDELITY BROKERAGE SERVICES LLC
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
ARETE RESEARCH LLC
CRD#: 128496 / SEC#: , 8-66145
Contact information
FINRA licenses (15 States and Territories)
Documents
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.
