BARINGS SECURITIES LLC

Broker-DealerFINRA MemberEst. 1995
Total AUM
Advisory reps
78
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 SEC-registered since 1995. Public records list the owner type as a domestic entity and individual and classify the firm as Unclassified. The firm is not flagged as a capital allocator and is not identified as an active ESG investor. Regulatory attributes also indicate Barings Securities LLC is not a multi-state adviser, not newly formed, and is not designated as a pension consultant or related adviser under the recorded fields.

Assets & Accounts

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

3 of 3
  • MELISSA LAGRANT

    Managing Director and Chief Compliance OfficerCRD 5106210

  • CHRISOFFEL CARY

    Chief Compliance OfficerCRD 6847493

  • DEREK TAWA

    Chief Compliance OfficerCRD 3054098

Contacts

3 of 75
  • ASHLEY PALUMBO

    Registered RepresentativeCRD 4925809

  • BRETT SEITLER

    Associate DirectorCRD 6116262

  • Andrea Willett de Yaquian

    Portfolio ComplianceCRD 3257386

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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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