Beau Figliola
Professional summary
Beau Figliola, who also goes by Beau Alan Figliola, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Seattle, Washington.
Beau is registered as a RR (Registered Representative) and started their career in finance in 2011. Beau has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Beau Figliola's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2020 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: 800 Fifth Avenue Suite 2800, Seattle, WA 98104June 21, 2011 - June 4, 2018
RUSSELL INVESTMENTS IMPLEMENTATION 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
(2/27/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/7/2012
Limited Representative-Equity Trader ExamFINRA
Current Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
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