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BA

Barnaby R. Audsley

ECHELON CAPITAL
EL SEGUNDO, CA 90245
Some features on this profile are disabled
CRD#: 7039322
BA

Professional summary

Barnaby Robert Audsley is a registered financial professional currently at ECHELON CAPITAL located in El Segundo, California.

Barnaby is registered as a RR (Registered Representative) and started their career in finance in 2019. Barnaby has worked at 1 firm and has passed the Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Barnaby Robert Audsley's 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

May 3, 2019 - Present

ECHELON CAPITAL

Office #1: 2321 Rosecrans Avenue Suite 3285, El Segundo, CA 90245
BD
CRD#: 155228
EL SEGUNDO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 3/7/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/31/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ECHELON CAPITAL
ECHELON CAPITAL | ECHELON CAPITAL PARTNERS, LLC

CRD#: 155228 / SEC#: , 8-68705

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2321 Rosecrans Avenue Suite 3285, El Segundo, CA 90245
Mailing Address
2321 Rosecrans Avenue Suite 3285, El Segundo, CA 90245
Phone number
(888) 560-9027
Established
Delaware since 07/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SEIVERT, DANIEL BRIANCEO, CCO & MANAGING PARTNER2286266
BARRETT, THOMAS JOSEPHFINOP2821759

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

ECHELON CAPITAL

CRD#: 155228El Segundo, CA 90245

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