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Benjamin Westcott Barton

THE Leaders Group, Inc.

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About Benjamin Westcott Barton

Benjamin Barton is a financial professional with over 20 years of experience in the securities industry. Benjamin's career has included roles with well-known firms like Wells Fargo Securities, LLC and BBVA Securities Inc. Benjamin currently holds a Series 7, Series 63, Series 24, and Series 4 license. Benjamin has been registered with The Leaders Group, Inc. since August 2023, and is licensed to conduct business in multiple states.

Firm Information

Benjamin Barton is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Benjamin Barton’s Registration & Firm History

CO

08/29/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

MO

06/11/2021 - 08/30/2023

LOCKTON INVESTMENT SECURITIES, LLC (KANSAS CITY MO)

AZ

01/16/2019 - 10/23/2019

BBVA SECURITIES INC. (PHOENIX AZ)

AZ

08/09/2011 - 12/14/2018

WELLS FARGO SECURITIES, LLC (PHOENIX AZ)

NC

08/21/2006 - 07/29/2011

WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)

CA

08/02/2004 - 08/22/2006

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

CA

05/03/2004 - 06/07/2004

STOCKS 4 LESS, INC. (SHERMAN OAKS CA)

CA

08/22/2002 - 06/07/2004

NATIONAL CLEARING CORP. (SHERMAN OAKS CA)

CA

01/13/2000 - 07/16/2001

MR. STOCK, INC. (SAN FRANCISCO CA)

CA

08/25/1999 - 12/31/1999

THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 09/03/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/12/2001

Series 4 - Registered Options Principal Examination

BC

Issued 02/15/2001

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Benjamin Westcott Barton.
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