WB
William T. Barnes
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CRD#: 1111454
WB
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.
William Thomas Barnes was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
WILLIAM BARNES
POSITION: AGENT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 10 START DATE: 11/01/1983
ADDRESS: 8 RIVER BLUFF ROAD, ELGIN IL 60120
DESCRIPTION: EVALUATE AND PROVIDE CLIENT WITH INSURANCE NEEDS.
WTB FINANCIAL SERVICES - DBA
POSITION: OWNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 80 INVESTMENT RELATED HOURS: 10 START DATE: 09/05/1994
ADDRESS: 8 RIVER BLUFF ROAD, ELGIN IL 60120
DESCRIPTION: I REVIEW CLIENT CONCERNS AND FINANCIAL NEEDS.
HARVEST INVESTMENT SERVICES, LLC
POSITION: IAR NATURE: INVESTMENT ADVISORY SERVICES INVESTMENT RELATED: YES NUMBER OF HOURS: 20 INVESTMENT RELATED HOURS: 20 START DATE: 02/06/2012
ADDRESS: 1 TRANS AM PLAZA DR., SUITE 230, OAKBROOK TERRACE IL 60181
DESCRIPTION: I ADVISE CLIENTS CONCERNING MANAGEMENT ACCOUNTS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 15, 2012 - December 31, 2023
HARVEST INVESTMENT SERVICES, LLC
RIA
CRD#: 159390
OAKBROOK TERRACE, IL
Past
September 28, 1999 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ELGIN, IL
Past
June 7, 1999 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ELGIN, IL
Past
May 28, 1998 - June 8, 1999
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ISELIN, NJ
Past
April 7, 1998 - August 12, 1998
EMISSARY FINANCIAL GROUP, INC.
BD
CRD#: 44568
MENTOR, OH
Past
January 9, 1997 - March 17, 1998
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
March 14, 1984 - January 23, 1995
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HI
HARVEST INVESTMENT SERVICES, LLC
COMPREHENSIVE FINANCIAL PLANNING SERVICES | PYLE FINANCIAL SERVICES, INC | PROGRESSIVE FINANCIAL PLANNING SERVICES, INC. | HARVEST INVESTMENT SERVICES, LLC | HARVEST INVESTMENT SERVICES, INC. | HARRISON FINANCIAL GROUP, INC. | HARRISON FINANCIAL GROUP, INC | DOUBLE W FINANCIAL GROUP, INC. | COPELIN FINANCIAL ADVISORS
CRD#: 159390 / SEC#: 801-79232
RIA
Registered Investment Advisory firm - (2/24/2014 Approved)Arizona
Registered Investment Advisory firm - (3/21/2014 Terminated)California
Registered Investment Advisory firm - (4/20/2014 Terminated)Illinois
Registered Investment Advisory firm - (2/24/2014 Terminated)Louisiana
Registered Investment Advisory firm - (3/28/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/21/2014 Terminated)Texas
Registered Investment Advisory firm - (3/21/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285
Mailing Address
Phone number
(630) 613-9230
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 534,204,368 |
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.
