Barings Securities LLC

Broker-DealerFINRA MemberEst. 1995
Total AUM
Advisory reps
77
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. The ownership is listed as a domestic entity/individual and the firm's regulatory classification is shown as unclassified. Available records do not detail the firm’s advisory mandates, fee model or client segments. The dataset flags several negatives about the firm’s profile: it is not identified as a capital allocator, is not an active ESG investor, is not designated a multi-state adviser, and is not listed as a pension consultant, newly formed adviser, or related adviser. The firm has not provided additional information about its activities or affiliations in the source data.

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
  • 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 74
  • Ashley Palumbo

    Ashley Palumbo

    Registered RepresentativeCRD 4925809

  • Brett Seitler

    Brett Seitler

    Associate DirectorCRD 6116262

  • Andrea Willett De Yaquian

    Portfolio ComplianceCRD 3257386

Unlock 71 more contacts

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