Bartley G. Barnett
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.
Bartley Glenn Barnett was a registered financial professional .
Bartley is a previously registered financial professional and started their career in finance in 1991. Bartley had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2012 - November 15, 2016
USCA SECURITIES LLC
January 30, 2004 - April 19, 2012
MORGAN KEEGAN & COMPANY, LLC
November 6, 2002 - April 19, 2012
MORGAN KEEGAN & COMPANY, LLC
August 25, 2000 - November 15, 2002
SCOTT & STRINGFELLOW, LLC
February 9, 2000 - July 6, 2000
J.C. BRADFORD & CO.
October 1, 1997 - February 7, 2000
BANC OF AMERICA SECURITIES LLC
September 11, 1995 - October 1, 1997
MONTGOMERY SECURITIES
June 28, 1991 - April 11, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 6/1/2005
Limited Representative-Equity Trader ExamCurrent Firm
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
