Stephen BarrettCRD Number: 1377133
Current Firm: J.j.b. Hilliard, W.l. Lyons, LLC
Stephen Barrett (CRD# 1377133) is an Investment Advisor Representative working at J.j.b. Hilliard, W.l. Lyons, LLC in Indianapolis, IN and has over 31 years of experience in the finance industry.
Halter Ferguson Financial Inc.
I4 Advisors LLC
Halter Ferguson Financial Inc.
|J.j.b. Hilliard, W.l. Lyons, Inc.||Indianapolis, IN||Aug 1992 - Current||25|
|Northwestern Mutual Life||Milwaukee, WI||Feb 1985 - Current||33|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1987|
|S65||NASAA Investment Advisors Law Examination||Nov 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management7,638MILLIONS
Total Number of Accounts24,586ACCOUNTS
Average Account Value$310,678
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV
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