James M. Barnes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Martin Barnes, who also goes by Marty Barnes, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - February 26, 2016
REGAL INVESTMENT ADVISORS LLC
September 9, 2008 - January 19, 2010
APW CAPITAL, INC.
August 11, 2003 - December 4, 2007
PURSHE KAPLAN STERLING INVESTMENTS
February 9, 1998 - November 5, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 7, 1998 - August 12, 2003
SECURITIES SERVICE NETWORK, LLC
January 24, 1995 - January 23, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 24, 1995 - January 23, 1998
OSAIC FA, INC.
May 16, 1994 - December 31, 1997
FSC SECURITIES CORPORATION
November 2, 1988 - May 19, 1994
LINCOLN INVESTMENT
September 15, 1987 - November 8, 1988
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
November 1, 1983 - September 22, 1987
CITISTREET EQUITIES LLC
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
