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LO

Lea A. Overby

BARCLAYS CAPITAL
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 4752708
LO

Professional summary

Lea Ann Overby, who also goes by Lea Ann Overby, Lea Overby, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in Boston, Massachusetts.

Lea is registered as a RR (Registered Representative) and started their career in finance in 2004. Lea has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lea Ann Overby | Lea Overby

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lea Ann Overby's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 22, 2021 - Present

BARCLAYS CAPITAL INC.

Office #1: 125 High Street, Boston, MA 02110
BD
CRD#: 19714
BOSTON, MA
Past

August 17, 2018 - January 22, 2021

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY
Past

August 25, 2010 - July 29, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

May 12, 2004 - October 5, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/28/2021)
RR
Alaska
(4/28/2021)
RR
Arizona
(4/29/2021)
RR
Arkansas
(4/24/2021)
RR
California
(4/22/2021)
RR
Colorado
(4/23/2021)
RR
Connecticut
(4/22/2021)
RR
Delaware
(4/26/2021)
RR
District of Columbia
(4/28/2021)
RR
Florida
(5/3/2021)
RR
Georgia
(5/14/2021)
RR
Hawaii
(5/3/2021)
RR
Idaho
(4/28/2021)
RR
Illinois
(4/28/2021)
RR
Indiana
(4/27/2021)
RR
Iowa
(4/23/2021)
RR
Kansas
(4/23/2021)
RR
Kentucky
(4/23/2021)
RR
Louisiana
(4/28/2021)
RR
Maine
(4/22/2021)
RR
Maryland
(4/22/2021)
RR
Massachusetts
(4/23/2021)
RR
Michigan
(4/28/2021)
RR
Minnesota
(4/26/2021)
RR
Mississippi
(4/30/2021)
RR
Missouri
(4/22/2021)
RR
Montana
(4/22/2021)
RR
Nebraska
(4/26/2021)
RR
Nevada
(4/30/2021)
RR
New Hampshire
(4/22/2021)
RR
New Jersey
(4/29/2021)
RR
New Mexico
(4/26/2021)
RR
New York
(5/8/2021)
RR
North Carolina
(4/22/2021)
RR
North Dakota
(5/4/2021)
RR
Ohio
(4/22/2021)
RR
Oklahoma
(4/23/2021)
RR
Oregon
(4/22/2021)
RR
Pennsylvania
(4/26/2021)
RR
Puerto Rico
(4/27/2021)
RR
Rhode Island
(4/26/2021)
RR
South Carolina
(4/26/2021)
RR
South Dakota
(5/13/2021)
RR
Tennessee
(4/28/2021)
RR
Texas
(4/29/2021)
RR
Utah
(4/22/2021)
RR
Vermont
(4/23/2021)
RR
Virgin Islands
(5/4/2021)
RR
Virginia
(5/1/2021)
RR
Washington
(4/23/2021)
RR
West Virginia
(6/16/2021)
RR
Wisconsin
(4/22/2021)
RR
Wyoming
(4/23/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/2013
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL

CRD#: 19714 / SEC#: 801-69700, 8-41342

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
745 7th Avenue, New York, NY 10019-6801
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INVESTMENT PHILOSOPHY PORTFOLIO MULTIPLE ACCOUNTS (IPPMA) PROGRAM (10/29/2015)
PORTFOLIO MANAGEMENT PROGRAM (ETF TACTICAL ALLOCATION STRATEGIES) (8/26/2015)
SELECT ADVISORS PROGRAM (8/26/2015)
PORTFOLIO MANAGEMENT PROGRAM (EQUITY AND FIXED INCOME STRATEGIES) (8/26/2015)
ACCOMMODATION MANAGER PROGRAM (8/26/2015)
INVESTMENT ADVISOR REPRESENTATIVE PROGRAM (8/26/2015)
FIRM BROCHURE (8/26/2015)

Direct owners and executive officers

NamePositionCRD#
BARCLAYS GROUP US INC.OWNS BARCLAYS CAPITAL INC.
ABREU, JULIAN JAVIERROSFP - PRIME SERVICES5160018
JAISING, RAHULROSFP - PRIME SERVICES4754959
MATHIS, CAROL PEDERSENPRINCIPAL FINANCIAL OFFICER4322657
MAYER, ANTHONY EDWARDCHIEF RISK OFFICER8132690
MOGAVERO, ANDREW MICHAELCHIEF EXECUTIVE OFFICER3247485
O'CONNOR, CLAIRE SCHOLZBOARD DIRECTOR1907247
ROGOFF, BRADLEY WAYNEHEAD OF RESEARCH4569545
SMITH, JULIETTE SARACHIEF LEGAL OFFICER5696210
WESTWOOD, JAIPRINCIPAL OPERATIONS OFFICER4611538
ZACHARIA, ZACHARIACHIEF COMPLIANCE OFFICER2440444

Disclosures

Regulatory Event142
Civil Event4

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

BARCLAYS CAPITAL INC.

CRD#: 19714Boston, MA 02110

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