Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Stainton has been in the financial services industry since January 12, 1995. Barbara is currently a registered representative with Wells Fargo Clearing Services, LLC and is licensed in Texas. Barbara has experience in both the brokerage and investment advisory fields. Barbara is a licensed investment advisor and is currently licensed in Texas. Barbara holds multiple industry licenses and designations, including Series 3, 7, 8, 9, 10, 63, 65, 99, and SIE. Barbara has worked for several firms during her career, including Prudential Securities Incorporated and Wells Fargo Advisors. Barbara is a well-rounded financial professional with a strong commitment to helping her clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (AUSTIN TX)
NY
01/13/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1999
Series 3 - National Commodity Futures Examination
BC
Issued 01/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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