Barings Securities LLC

Broker-DealerFINRA MemberEst. 1995
Total AUM
Advisory reps
75
Avg account
$0

Firm details

Headquarters
Charlotte, North Carolina
CRD number
36929
Registered since
January 11, 1995

Firm profile

FINTRX

Overview

Barings Securities LLC is organized as a limited liability company and has been registered with the SEC since 1995. FINTRX lists the ownership as a domestic entity and individual owners and classifies the firm as unclassified. The profile indicates the firm does not act as a capital allocator and is not identified as an active ESG investor. It is not recorded as a multi-state adviser, a related adviser, a pension consultant, or a newly formed adviser. The source provides no further detail about the firm’s advisory scope, fee structure, or specific business activities.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Bradley Finkle

    Bradley Finkle

    Global Chief Operating OfficerCRD 2663338

  • Melissa Lagrant

    Melissa Lagrant

    Managing Director and Chief Compliance OfficerCRD 5106210

  • Derek Tawa

    Derek Tawa

    Chief Compliance OfficerCRD 3054098

Contacts

3 of 72
  • Ashley Palumbo

    Ashley Palumbo

    Registered RepresentativeCRD 4925809

  • Brett Seitler

    Brett Seitler

    Associate DirectorCRD 6116262

  • Andrea Willett De Yaquian

    Portfolio ComplianceCRD 3257386

Unlock 69 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Charlotte, NC

Mecklenburg

Location

Charlotte, NC

Headquartered in Charlotte, NC, anchoring the Charlotte-Concord, NC-SC metro in the South.

Metro area
Charlotte-Concord, NC-SC
Region
South
County
Mecklenburg
Address
300 S Tryon St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth