Robert 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.
Robert Marshall Barnes was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 1 firm and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 1968 - October 25, 1991
HOWE BARNES HOEFER & ARNETT, 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
HOWE BARNES HOEFER & ARNETT, INC.
CRD#: 2240 / SEC#: , 8-13657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | SOLE OWNER | |
| COUGHLIN, DANIEL EDMUND | DIRECTOR | 2419252 |
| FOLIAS, DEAN ALLAN | CHIEF COMPLIANCE OFFICER | 3128644 |
| FRANZ, RICHARD BONAFIELD II | CFO/TREASURER | 1402348 |
| TREMAINE, THOMAS ROBERT | DIRECTOR | 1524109 |
| TROCIN, JEFFREY EDWARD | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1547237 |
| ZANK, DENNIS WILLIAM | DIRECTOR | 871971 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
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.
