Barbara S. Gault
Professional summary
Barbara Stewart Gault, CFP®, who also goes by Barbara S. Gault, is a registered financial advisor currently at BARBARA S. GAULT located in Sausalito, California.
Barbara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Barbara has worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Stewart Gault's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2017 - Present
BARBARA S. GAULT
Office #1: 180 Harbor Drive Suite 230, Sausalito, CA 94965January 23, 2003 - June 27, 2003
NORTHERN TRUST SECURITIES, INC.
January 3, 2003 - June 27, 2003
NORTHERN TRUST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/5/2017)
Exams
Current Firm
BARBARA S. GAULT
CRD#: 128433 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 16,188,757 |
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.
Company Information
BARBARA S. GAULT
CRD#: 128433Sausalito, CA 94965TRUST BUT VERIFY
Monitor Barbara Gault
Get automatic monthly alerts on:
