Dudley M. Barnes

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CRD#: 12794

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.

Dudley Mcbee Barnes was a registered financial professional .

Dudley is a previously registered financial professional and started their career in finance in 1972. Dudley had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

(1)Name of Business: Barnes and Assoc, Inc Address: 252 Sunflower Avenue, Clarksdale, MS, 38614, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 12/06/2011 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Corp receives all RJFS income (2)Name of Business: Barnes Pettey Financial Advisors LLC Address: 252 Sunflower Ave, Clarksdale, MS, 38614, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 01/02/1984 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Member (3)Name of Business: Barnes Pettey Financial Advisors LLC Address: 252 Sunflower Ave, Clarksdale, MS, 38614, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/01/1984 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Independent RIA and support company (4)Name of Business: La Playa 703 Address: 13555 Sandy Key Drive, Pensacola, FL, 32507, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 03/18/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Investor in rental real estate

Blog Corner

CRS (Client Relationship Summary)

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

Past

July 12, 1973 - April 16, 1974

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

November 9, 1972 - June 16, 1973

NEW ENGLAND SECURITIES

CRD#: 615

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".

BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 5/27/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BARNES PETTEY FINANCIAL ADVISORS, LLC

CRD#: 142944 / SEC#: 801-67555

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

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Contact information

Main Address

252 Sunflower Avenue, Clarksdale, MS 38614

Mailing Address

P.o. Box 1234, Clarksdale, MS 38614

Phone number

(662) 627-2225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BARNES PETTEY FINANCIAL ADVISORS, LLC ADV BROCHURE (7/28/2025)

Regulatory assets under management

Total Number of Accounts	2,720
AUM (Assets Under Management)	$ 1,123,122,793

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.

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Dudley M. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BARNES PETTEY FINANCIAL ADVISORS

BARNES PETTEY FINANCIAL ADVISORS

RAYMOND JAMES FINANCIAL SERVICES, INC.

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

BARNES PETTEY FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1987

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/1/1972

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 5/27/1983

Current Firm

BARNES PETTEY FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARNES PETTEY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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