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Louis Beasley

Managing Director, Chief Compliance Officer at Bamco

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Louis Beasley is Managing Director, Chief Compliance Officer of Bamco, Inc., a New York investment adviser managing $39.5B. Louis Beasley has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Bamco

Title on Schedule A
Managing Director, Chief Compliance Officer
Control
Louis Beasley is a control person of Bamco.
Ownership
An individual ownership band is not available in the source record.
Tenure
Louis Beasley has held the filed role since September 2014.

The firm

Bamco, Inc.
New York, NY

Form ADV filed 27 May 2026

$39.5B AUM45 clients41 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14 · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2015
  4. Passed Series 63 and Series 7 · 1999

Registrations and exams

Broker registration; no current adviser registration. Louis Beasley has passed 5 qualifying exams.

Examinations

Series 635 January 1999
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2422 January 2015
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 720 January 1999
Name
General Securities Representative Examination

Individual record

Full name
Louis Barrett Beasley
CRD
3156061
Firm
Bamco, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
baroncapitalgroup.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Baron Capital identifies Louis Beasley as chief compliance officer and says he joined the firm in 2014. Official firm biography/team page

Education

Common questions

Where does Louis Beasley work?

Louis Beasley has been Managing Director, Chief Compliance Officer of Bamco, Inc. since September 2014, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 May 2026

Does Louis Beasley have a current investment-adviser registration?

Louis Beasley has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Louis Beasley passed?

Louis Beasley has passed 5 licensing exams: the Series 63, Series 7, Series 24, SIE and Series 14. The earliest, the Series 63, was passed in January 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at Bamco

  • David Baron
    Director & Co-President
  • Michael Baron
    Director & Co-President
  • Patrick Patalino
    Senior Managing Director, Chief Operating Officer
  • Ronald Baron
    Founder & CEO
  • Richard Bronstein
    Director
  • Clifford Greenberg
    Senior Managing Director & Co-CIO
  • Anita Nagler
    Director
  • Andrew Peck
    Senior Managing Director & Co-CIO
  • Susan Robbins
    Senior Managing Director
  • Kristine Treglia
    Managing Director, Chief Legal Officer

Sources

  1. IAPD individual record, CRD 3156061. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Bamco, Inc., filed 27 May 2026. Title, control and ownership bands.
  3. Bamco team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Louis Beasley or Bamco, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.