George Barnes
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CRD#: 12815
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.
George Barnes, who also goes by George Gregory Barnes, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1965. George had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000, Series 1, Series 40 and Series 12 exams.
Biography
George Barnes is a Vice President and Wealth Advisor at J.P. Morgan Wealth Management. He focuses on serving the investment management needs of high-net-worth clients and their families.
Fluent in both equity and fixed income strategies, George accesses the broad spectrum of resources available at J.P. Morgan to offer his clients distinctive and tailored portfolios that address their individualized needs, current financial situations, time horizons, risk tolerance and personal or business considerations. He provides clients with access to lending products that range from mortgages to lines of credit. George works with outside advisors, accountants, attorneys and business managers to integrate investment plans and help ensure that the entirety of each client's financial picture is considered.
Overseeing individual securities and portfolios involves a significant investment of time, asset management experience and a prodigious work ethic. George spends 8–10 hours a day at his desk, carefully monitoring positions, keeping up with the latest research and communicating closely with his clients.
George began his career in financial services at Walston & Company in 1965 and joined Bear Stearns in 1979. He transitioned with the firm to J.P. Morgan in 2008 and is proud of the continuity that he provides to his longstanding clients. He continues to find the challenges of the investment markets both stimulating and exciting. He is eager to share his knowledge and experience with his clients.
Originally from Southern California, George was active in the Boy Scouts and earned both Eagle Scout status and the Order of the Arrow. He graduated from the University of California, Davis, with a B.S. in Veterinary Science, but drawn to the financial markets, he subsequently earned a B.S. in Business Management from San Jose State University.
A proficient skier, George has served as an instructor at Heavenly Valley at Lake Tahoe and on the pistes of St. Moritz, Switzerland. He is an active member of Professional Ski Instructors of America. George is an avid golfer and belongs to the Bel-Air Country Club and the La Quinta Country Club. He and his wife, Beth, live in Marina del Rey and enjoy traveling internationally.
Question & Answer
Are you a "fiduciary"?
No
Aliases
George Gregory Barnes
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.
Effective 6/15/2018 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.
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
July 8, 1997 - September 1, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
February 24, 1978 - July 25, 1979
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
March 1, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
Past
July 21, 1965 - September 5, 1975
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
Past
July 19, 1965 - September 1, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, CA
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".
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 4/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 7/19/1965
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 7/19/1965
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 10/4/1976
Registered Principal ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 8/30/1976
NYSE Branch Manager ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
