Milton R. 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.
Milton Royal Barnes III, who also goes by Milt Barnes, was a registered financial professional .
Milton is a previously registered financial professional and started their career in finance in 1986. Milton had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
Experience
July 11, 1996 - June 25, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
November 1, 1994 - September 12, 1996
TEXAS CAPITAL SECURITIES, INC.
November 19, 1993 - September 19, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 6, 1992 - November 5, 1993
UBS FINANCIAL SERVICES INC.
September 4, 1990 - January 9, 1992
WELLS FARGO CLEARING SERVICES, LLC
November 27, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 14, 1987 - December 5, 1989
LEHMAN BROTHERS INC.
January 6, 1986 - April 9, 1987
MORGAN STANLEY DW 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
CAPITAL WEST INVESTMENT GROUP, INC.
CRD#: 39446 / SEC#: , 8-48707
Contact information
Documents
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.
