Matthew T. Barnes

PROFED FINANCIAL ADVISORS

FORT WAYNE, IN 46815

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CRD#: 2055693

Professional summary

Matthew Todd Barnes is a registered financial advisor currently at PROFED FINANCIAL ADVISORS located in Fort Wayne, Indiana and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Fort Wayne, Indiana.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Matthew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.) MATTHEW T. BARNES - NOTARY - NOTARY - FORT WAYNE, IN - SINCE 01/1988 - NOT INVESTMENT RELATED 2.) S & M ASSOCIATES, LLC - MEMBER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - FORT WAYNE, IN - SINCE 01/1997 - INVESTMENT RELATED 3.) PROFED FINANCIAL ADVISORS - CO-PRESIDENT, FINANCIAL CONSULTANT - DBA NAME FOR MARKETING PURPOSES ONLY - FORT WAYNE, IN - SINCE 12/1990 - INVESTMENT RELATED 4.) MATTHEW T. BARNES - INSURANCE AGENT - NON-VARIABLE INSURANCE - FORT WAYNE, IN - SINCE 06/1990 - INVESTMENT RELATED 5.) PROFED FINANCIAL ADVISORS, LLC - CONTROL PERSON, CHIEF COMPLIANCE OFFICER, IAR - REGISTERED INVESTMENT ADVISOR - FORT WAYNE, IN - SINCE 12/1990 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Todd Barnes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Matthew Todd Barnes'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®

None

Experience

Current

October 14, 1998 - Present

PROFED FINANCIAL ADVISORS

Office #1: 4315 Flagstaff Cove, Fort Wayne, IN 46815

RIA

CRD#: 121581

FORT WAYNE, IN

Current

June 3, 2021 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 4315 Flagstaff Cove, Fort Wayne, IN 46815

RIA

CRD#: 20804

Fort Wayne, IN

Current

June 3, 2021 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 4315 Flagstaff Cove, Fort Wayne, IN 46815

RIA

CRD#: 20804

Fort Wayne, IN

Past

January 10, 2013 - June 7, 2021

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FT. WAYNE, IN

Past

September 17, 1990 - June 7, 2021

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FT. WAYNE, IN

Past

June 14, 1990 - September 24, 1990

FIRST PACIFIC CAPITAL CORPORATION

CRD#: 21042

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".

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Arizona
(6/3/2021)

California
(6/29/2021)

Colorado
(6/3/2021)

Connecticut
(1/12/2022)

District of Columbia
(6/25/2025)

Florida
(6/3/2021)

Georgia
(6/3/2021)

Idaho
(1/20/2022)

Illinois
(6/3/2021)

IAR

Indiana
(10/14/1998)

Indiana
(6/3/2021)

Iowa
(1/12/2022)

Kansas
(1/12/2022)

Kentucky
(2/1/2024)

Maryland
(10/27/2022)

Massachusetts
(7/1/2021)

Michigan
(6/3/2021)

Minnesota
(6/3/2021)

Missouri
(1/13/2022)

Montana
(11/30/2022)

Nevada
(1/20/2022)

New York
(1/12/2022)

North Carolina
(11/26/2024)

Ohio
(6/3/2021)

Oregon
(1/12/2022)

Pennsylvania
(6/3/2021)

South Carolina
(6/3/2021)

Texas
(6/3/2021)

IAR

Texas
(6/5/2021)

Utah
(6/3/2021)

Virginia
(7/9/2021)

Washington
(1/5/2024)

Wisconsin
(1/12/2022)

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: 12/21/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/22/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/30/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258

Mailing Address

P.o. Box 5750, Scottsdale, AZ 85261-5750

Phone number

(480) 991-0225

Established

Arizona since 08/21/1987

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

614

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED PLANNERS' GROUP, INC.	GENERAL PARTNER
BAKER, MICHAEL A	PRESIDENT	4037933
BAKER, MICHAEL A	CHIEF EXECUTIVE OFFICE (CEO)	4037933
CUFFARI-AGASI, SHEILA JUNE	EXECUTIVE VICE PRESIDENT	2401020
HAUER, DAVE B	VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER	4018434
OLIVERIO, KENNETH WILLIAM JR	EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER	2957427
SHINDEL, CHAD TRAVIS	VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)	6232253

Regulatory assets under management

Total Number of Accounts	41,834
AUM (Assets Under Management)	$ 10,637,349,683

Disclosures

Regulatory Event	12
Arbitration	3

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

Matthew T. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Todd Barnes's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Matthew Todd Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FIRST PACIFIC CAPITAL CORPORATION

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1992

Series 63

Date: 5/30/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2005

Series 6

Date: 5/30/1990

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

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