Scott H. Barnard
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.
Scott Hubbardston Barnard was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2018. Scott had worked at 2 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
August 22, 2021 - January 15, 2024
GLADWYN FINANCIAL ADVISORS, INC.
July 29, 2019 - August 21, 2020
UBS FINANCIAL SERVICES INC.
August 21, 2018 - August 21, 2020
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
GLADWYN FINANCIAL ADVISORS, INC.
CRD#: 135544 / SEC#: 801-131574
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
GLADWYN FINANCIAL ADVISORS, INC.
CRD#: 135544 / SEC#: 801-131574
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 363 |
| AUM (Assets Under Management) | $ 146,000,000 |
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.
