Beate E. Bolen
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.
Beate Elise Bolen, who also goes by Beate Elisa Bolen, Beate Gutermuth, was a registered financial professional .
Beate is a previously registered financial professional and started their career in finance in 1982. Beate had worked at 5 firms and has passed the SIE, Series 3, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1994 - October 3, 2014
BARCLAY INVESTMENTS LLC
August 6, 1993 - May 9, 1994
KIDDER, PEABODY & CO. INCORPORATED
July 22, 1993 - August 6, 1993
CIBC WOOD GUNDY SECURITIES CORP.
August 23, 1989 - July 13, 1993
BARCLAY INVESTMENTS LLC
October 13, 1987 - May 20, 1989
CITIGROUP GLOBAL MARKETS INC.
February 15, 1982 - June 18, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
BARCLAY INVESTMENTS LLC
CRD#: 6159 / SEC#: , 8-16935
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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