Geoffrey J. 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.
Geoffrey James Barnes, who also goes by Geoff Barnes, Geoffrey Barnes, Jeff Barnes, was a registered financial advisor .
Geoffrey is a previously registered financial advisor and started their career in finance in 1993. Geoffrey had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2003 - July 18, 2006
TD AMERITRADE, INC.
June 5, 1995 - July 18, 2006
TD AMERITRADE, INC.
September 7, 1994 - January 9, 1995
INTERNATIONAL ASSETS ADVISORY, LLC
August 31, 1993 - July 1, 1994
MORGAN STANLEY DW INC.
June 18, 1993 - October 8, 1993
JOSEPHTHAL & CO., 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
Series 8
Date: 7/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
