Paul S. Barnes
Professional summary
Paul St Patrick Barnes, who also goes by Paul S Barnes, is a registered financial advisor currently at CETERA ADVISORS LLC located in Coral Springs, Florida.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1990. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul St Patrick Barnes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 11, 2011 - Present
CETERA ADVISORS LLC
Office #1: 210 N University Dr Ste 100, Coral Springs, FL 33071November 30, 2004 - December 31, 2007
QA3 FINANCIAL LLC
September 20, 2004 - February 11, 2011
QA3 FINANCIAL CORP.
November 13, 2003 - September 16, 2004
OSAIC WEALTH, INC.
December 9, 2002 - September 16, 2004
OSAIC WEALTH, INC.
December 2, 2002 - December 3, 2002
OSAIC WEALTH, INC.
April 13, 1999 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
November 20, 1995 - June 15, 1999
OSAIC WEALTH, INC.
August 1, 1994 - November 6, 1995
CHEMICAL INVESTMENT SERVICES CORP.
November 9, 1993 - August 1, 1994
IFMG SECURITIES, INC.
July 14, 1992 - April 30, 1993
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
January 22, 1992 - May 11, 1992
CHATFIELD DEAN & CO., INC.
April 23, 1990 - April 16, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 23, 1990 - April 16, 1992
SIGNATOR INVESTORS, 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
(8/9/2022)
(9/16/2024)
(2/11/2011)
(6/16/2025)
(1/20/2021)
(1/8/2018)
(1/9/2018)
(9/12/2014)
(5/15/2019)
(5/27/2022)
(5/19/2022)
(1/3/2019)
(7/27/2022)
(2/11/2019)
(7/31/2019)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
Company Information
CETERA ADVISORS LLC
CRD#: 10299Coral Springs, FL 33071TRUST BUT VERIFY
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