Beau Figliola
Professional Summary
Beau Figliola, who also goes by Beau Alan Figliola, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Beau Alan Figliola
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.
Contact Information
Main Address
One Post Office Square, Boston, MA 02109Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231Phone Number
(617) 482-8260Established
Massachusetts since 07/15/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | — |
| FAMIGLIETTI, FRANK J | CO-PRESIDENT AND 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 |
| MELLO, KATARZYNA ZOFIA | DIRECTOR | 2280509 |
| MICHAUD, DAVID ANDREW | CO-PRESIDENT AND DIRECTOR | 2730645 |
| RANDALL, RONALD ALLAN | PRINCIPAL OPERATIONS OFFICER | 2946509 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/27/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2012SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Beau Figliola's CRS (Customer Relationship Summary).
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