Barbara A. Barton
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.
Barbara Ann Barton, CFP®, who also goes by Barbara Ann Manchik, Barbara Ann Stone, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1997. Barbara had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
June 9, 2025 - June 30, 2025
LPL FINANCIAL LLC
December 10, 2024 - October 31, 2025
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
November 1, 2024 - October 31, 2025
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
February 2, 2024 - February 7, 2024
LPL FINANCIAL LLC
November 22, 2023 - November 1, 2024
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
July 22, 2019 - February 1, 2024
LPL FINANCIAL LLC
July 22, 2019 - June 30, 2025
LPL FINANCIAL LLC
January 16, 2018 - July 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
January 16, 2018 - July 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
June 19, 2007 - January 16, 2018
SII INVESTMENTS, INC.
June 19, 2007 - January 16, 2018
SII INVESTMENTS, INC.
July 14, 2000 - June 22, 2007
LEGACY ADVISORY SERVICES, INC.
December 1, 1997 - June 22, 2007
LEGACY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
