DB
Douglas H. Barton
OSAIC ADVISORY SERVICES
Colorado Springs, CO 80918
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CRD#: 1494345
DB
Professional summary
Douglas Harry Barton, AIF®, who also goes by Doug Barton, is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in Colorado Springs, Colorado and OSAIC WEALTH, INC. located in Colorado Springs, Colorado.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Barton
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. Ascent Financial Group;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;llc;owner/founder/wealth advisor;8/20/2005;150 hrs/month;130 hrs during trading;acquire new clients,do financial plans,provide investment solutions through managed accounts,mutual funds,ETFs,fixed and variable annuities,advise on life insurance and long term care insurance 2. Ascent Insurance Consultants,LLC;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;term,whole life,universal life,long term care;owner;6/27/2019;10 hrs/month;2 hrs during trading;selling of fixed life insurance policies and long term care insurance 3. Barton Tower LLC;investment related;5875 Lehman Dr,Suite 200,Colorado Springs,CO 80918;sole member of an llc that owns and leases offices in the office building;owner of office building;8/1/2005;5 hrs/month;1 hr during trading;own and operate office building with 9 tenants,write & review leases,collect and deposit rent,coordinate building repairs,fix small items,complete tax forms for entity each year,communicate with tenants,pay bills 4. BARTON TOWER LLC POSITION: owner of office building NATURE: sole member of an llc that owns and leases offices in the office building INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2005 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: own and operate office building with 9 tenants,write & review leases,collect and deposit rent,coordinate building repairs,fix small items,complete tax forms for entity each year,communicate with tenants,pay bills 5. ASCENT INSURANCE CONSULTANTS,LLC POSITION: owner NATURE: term,whole life,universal life,long term care INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 06/27/2019 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: selling of fixed life insurance policies and long term care insurance 6. ASCENT FINANCIAL GROUP POSITION: owner/founder/wealth advisor NATURE: llc INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 130 START DATE: 08/20/2005 ADDRESS: 5875 Lehman Dr, Suite 200, Colorado Springs CO 80918, United States DESCRIPTION: acquire new clients,do financial plans,provide investment solutions through managed accounts,mutual funds,ETFs,fixed and variable annuities,advise on life insurance and long term care insurance 7. ASCENT FINANCIAL GROUP POSITION: TRUSTEE NATURE: ACTING TRUSTEE ON FAMILY QTIP TRUST, BARTON FAMILY QTIP TRUST DATED 6/21/24 INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/21/2024 ADDRESS: 5875 LEHMAN DR, SUITE 200, COLORADO SPRINGS CO 80918, United States DESCRIPTION: MANAGING FAMILY TRUST
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Harry Barton's 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®
Experience
Current
May 18, 2023 - Present
OSAIC ADVISORY SERVICES, LLC
Office #1: 5875 Lehman Dr #200, Colorado Springs, CO 80918RIA
CRD#: 171070
Colorado Springs, CO
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 5875 Lehman Drive Suite 200, Colorado Springs, CO 80918RIA
BD
CRD#: 23131
Colorado Springs, CO
Past
May 18, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Colorado Springs, CO
Past
October 10, 2005 - May 18, 2023
SPC
RIA
CRD#: 110692
COLORADO SPRINGS, CO
Past
July 18, 2005 - May 18, 2023
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
COLORADO SPRINGS, CO
Past
August 16, 1988 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 16, 1988 - July 14, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
May 29, 1986 - December 20, 1988
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
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".
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
Registered Investment Advisory firm - (7/17/2014 Approved)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.RR
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
IAR
Arizona(5/24/2023)
RR
Arizona(8/23/2024)
RR
Arkansas(8/23/2024)
IAR
California(5/19/2023)
RR
California(8/23/2024)
IAR
Colorado(5/18/2023)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
IAR
Florida(5/22/2023)
RR
Florida(8/23/2024)
IAR
Idaho(5/18/2023)
RR
Idaho(8/23/2024)
IAR
Illinois(5/19/2023)
RR
Iowa(10/29/2025)
IAR
Kansas(5/19/2023)
RR
Kansas(8/23/2024)
IAR
Michigan(5/22/2023)
RR
Michigan(8/23/2024)
IAR
Minnesota(5/23/2023)
RR
Minnesota(8/23/2024)
RR
Mississippi(8/23/2024)
IAR
Nebraska(5/18/2023)
RR
Nebraska(8/23/2024)
RR
New Mexico(8/23/2024)
RR
North Carolina(8/23/2024)
IAR
Ohio(5/21/2023)
RR
Ohio(8/23/2024)
IAR
South Carolina(5/23/2023)
RR
South Carolina(8/23/2024)
RR
South Dakota(8/23/2024)
RR
Tennessee(12/13/2024)
IAR
Texas(5/29/2023)
RR
Texas(8/23/2024)
IAR
Virginia(5/19/2023)
RR
Virginia(8/23/2024)
IAR
Washington(5/19/2023)
RR
Wisconsin(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(866) 580-8219
Established
Firm type
Fiscal year end
# of Employees
2,594
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 47,032 |
| AUM (Assets Under Management) | $ 12,469,688,882 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 01/24/2024 | ||
| 12/21/2022 |
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.
Company Information
OSAIC ADVISORY SERVICES, LLC
CRD#: 171070Colorado Springs, CO 80918TRUST BUT VERIFY
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