Beau S. Barnett
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.
Beau Steele Barnett was a registered financial professional .
Beau is a previously registered financial professional and started their career in finance in 2002. Beau had worked at 14 firms and has passed the Series 66, SIE 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
November 22, 2021 - September 13, 2023
FORESIDE FUND SERVICES, LLC
February 19, 2021 - December 31, 2021
QUASAR DISTRIBUTORS, LLC
October 1, 2019 - April 8, 2020
BUCKINGHAM STRATEGIC WEALTH, LLC
December 14, 2018 - October 1, 2019
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
October 29, 2018 - September 18, 2019
FORESIDE FINANCIAL SERVICES, LLC
September 26, 2016 - December 14, 2018
LWI FINANCIAL INC.
September 20, 2016 - October 29, 2018
LORING WARD SECURITIES INC.
September 25, 2015 - August 19, 2016
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
August 11, 2011 - August 24, 2015
LWI FINANCIAL INC.
August 11, 2011 - August 24, 2015
LORING WARD SECURITIES INC.
April 12, 2010 - August 1, 2011
PERSHING LLC
January 15, 2009 - August 1, 2011
BNY ADVISORS
March 13, 2008 - April 1, 2010
BNY MELLON SECURITIES CORPORATION
July 26, 2007 - April 5, 2010
LOCKWOOD FINANCIAL SERVICES, INC.
December 15, 2003 - March 14, 2008
PERSHING LLC
November 13, 2003 - March 27, 2008
BNY ADVISORS
November 13, 2003 - December 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
July 31, 2002 - November 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
July 31, 2002 - November 4, 2003
IDS LIFE INSURANCE COMPANY
July 31, 2002 - November 4, 2003
AMERIPRISE FINANCIAL 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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
