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Lea Ann Overby

Barclays Capital Inc.

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About Lea Ann Overby

Lea Ann Overby is a financial professional with over 10 years of experience in the financial industry. Lea Ann is currently registered with Barclays Capital Inc. and is licensed in all 50 states. Lea Ann previously worked at WELLS FARGO SECURITIES, LLC, NOMURA SECURITIES INTERNATIONAL, INC., and BANC OF AMERICA SECURITIES LLC. Lea Ann has a strong background in securities and holds a Series 7, Series 24, Series 63, Series 99TO, and SIE license.

Firm Information

Lea Overby is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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Lea Overby’s Registration & Firm History

MA

04/22/2021 - Present

Barclays Capital Inc. (BOSTON MA)

NY

08/17/2018 - 01/22/2021

WELLS FARGO SECURITIES, LLC (New York NY)

NY

08/25/2010 - 07/29/2016

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

05/12/2004 - 10/05/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/07/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/16/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/24/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Lea Ann Overby.
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