Harry M. Barth

SECURA FINANCIAL

Orange, CA 92868-2944

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CRD#: 13891

Professional summary

Harry Michael Barth, CFP®, ChFC®, CLU® is a registered financial advisor currently at SECURA FINANCIAL located in Orange, California and ARKADIOS CAPITAL located in Orange, California.

Harry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Harry has worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 1, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) START DATE 01/1997 I DEVOTE 80 HRS/MO (60 HRS DURING TRADING) AS MANAGING PARTNER OF BARTH CALDERON LLP. THIS IS A LAW FIRM AND IS NOT AN INVESTMENTRELATED ACTIVITY. (2) START DATE 01/1985 I DEVOTE 50 HRS/MO (40 HRS DURING TRADING) AS MANAGING MEMBER OF SECURA LLC. THIS IS AN INVESTMENT RELATED ACTIVITYAND MY DUTIES TO THIS INDEPENDENT RIA RELATE TO COMPLIANCE AND MANAGEMENT. (3) START DATE 01/1997 I DEVOTE 10 HRS/MO ( 2 HRS DURING TRADING) ASPRESIDENT OF BENTLEY FINANCIAL INC. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE INSURANCE SALES. BUSINESS ADDRESS FOR ALL OF THEABOVE IS THE SAME AS THE BRANCH ADDRESS. (4)ARKADIOS CAPITAL; Yes; Orange, CA; Broker-dealer; Registered Representative; 03/2024; 25/ HRS MO; 25/ HRS MO;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Michael Barth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1981

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 28, 2006 - Present

SECURA FINANCIAL

Office #1: 333 City Boulevard West, Suite 2050, Orange, CA 92868-2944

RIA

CRD#: 137324

Orange, CA

Current

March 7, 2024 - Present

ARKADIOS CAPITAL

Office #1: 333 City Blvd West Suite 2050, Orange, CA 92868

CRD#: 282710

Orange, CA

Past

January 2, 2015 - April 3, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

January 6, 2014 - December 31, 2014

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

ORANGE, CA

Past

May 10, 2013 - December 31, 2014

J.W. COLE FINANCIAL, INC.

CRD#: 124583

ORANGE, CA

Past

June 1, 2012 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

ORANGE, CA

Past

October 4, 1994 - December 21, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

ORANGE, CA

Past

June 24, 1993 - June 8, 2012

LPL FINANCIAL LLC

CRD#: 6413

ORANGE, CA

Past

February 10, 1989 - July 9, 1993

SENTRA SECURITIES CORPORATION

CRD#: 10249

Past

January 13, 1988 - October 12, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 8, 1987 - July 9, 1993

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

April 10, 1986 - October 20, 1987

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

October 8, 1985 - February 6, 1989

PROFILE INVESTMENTS CORPORATION

CRD#: 16478

Past

April 30, 1984 - February 14, 1989

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 7, 1983 - April 23, 1984

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

Past

March 7, 1983 - February 18, 1986

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

April 11, 1976 - February 9, 1983

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

Past

November 25, 1974 - May 2, 1976

ROYAL MACCABEES SECURITIES COMPANY

CRD#: 6704

Past

June 12, 1970 - September 6, 1973

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

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".

SECURA FINANCIAL

BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC

CRD#: 137324 / SEC#: 801-113072

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Alaska

Registered Investment Advisory firm - (5/24/2018 Terminated)

California

Registered Investment Advisory firm - (6/20/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(3/7/2024)

Arizona
(3/7/2024)

IAR

California
(11/28/2006)

California
(3/7/2024)

Florida
(5/1/2024)

Louisiana
(4/9/2024)

Montana
(3/28/2024)

Nevada
(3/7/2024)

Oregon
(4/15/2024)

South Carolina
(3/15/2024)

Texas
(3/7/2024)

Utah
(3/7/2024)

Washington
(3/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 2/14/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/18/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SECURA FINANCIAL

BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC

CRD#: 137324 / SEC#: 801-113072

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Alaska

Registered Investment Advisory firm - (5/24/2018 Terminated)

California

Registered Investment Advisory firm - (6/20/2018 Terminated)

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Contact information

Main Address

333 City Boulevard West, Suite 2050, Orange, CA 92868-2944

Mailing Address

Phone number

(714) 704-6616

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE SEC (4/30/2025)

ADV2A AND 2B SEC (4/30/2025)

Regulatory assets under management

Total Number of Accounts	1,141
AUM (Assets Under Management)	$ 261,784,000

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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Advisor Monitoring

Firm Stability Insights

Harry M. Barth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harry Michael Barth's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARKADIOS CAPITAL

CROWN CAPITAL SECURITIES, L.P.

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

FINANCIAL ADVISERS OF AMERICA, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SENTRA SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

SENTRA SECURITIES CORPORATION

GLOBAL INVESTOR SECURITIES, INC.

PROFILE INVESTMENTS CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

GUARDIAN INVESTOR SERVICES LLC

GLOBAL INVESTOR SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

ROYAL MACCABEES SECURITIES COMPANY

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

SECURA FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1994

Series 63

Date: 2/26/1986

Series 52TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 2/14/1969

Series 53

Date: 11/18/1986

Series 24

Date: 4/12/1985

FINRA

Current Firm

SECURA FINANCIAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURA FINANCIAL

TRUST BUT VERIFY

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