Stephen P. 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.
Stephen Paul Barnes, CFA, CFP®, who also goes by Steve Barnes, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 4 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - December 6, 2017
BARNES INVESTMENT ADVISORY INC
July 3, 1991 - January 1, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 19, 1983 - July 31, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 19, 1983 - July 31, 1991
SIGNATOR INVESTORS, INC.
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
BARNES INVESTMENT ADVISORY INC
CRD#: 108145 / SEC#: 801-55835
Contact information
Documents
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.
