Timothy L. Barna

Waxhaw, NC

Some features on this profile are disabled

CRD#: 2167246

Professional summary

Timothy Lawrence Barna, who also goes by Tim Lawrence Barna, was a registered financial professional .

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1991. Timothy had worked at 11 firms and has passed the Series 63, Series 66, Series 99TO, Series 7TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Aliases

Tim Lawrence Barna

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

September 11, 2026 - Present

Waxhaw, NC

Past

October 5, 2025 - November 6, 2025

NORTLOV SECURITIES LLC

CRD#: 318546

MCDONOUGH, GA

Past

July 6, 2023 - October 6, 2023

E.F. HUTTON & CO. LLC

CRD#: 322687

NEW YORK, NY

Past

February 20, 2020 - July 16, 2021

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN FRANCISCO, CA

Past

December 6, 2019 - July 16, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN FRANCISCO, CA

Past

May 31, 2013 - July 23, 2014

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

BERKELEY, CA

Past

May 31, 2013 - July 23, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

BERKLEY, CA

Past

November 5, 2007 - November 13, 2012

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SAN FRANCISCO, CA

Past

April 15, 2003 - November 7, 2007

OPPENHEIMER ASSET MANAGEMENT

RIA

CRD#: 105559

NEW YORK, NY

Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SAN FRANCISCO, CA

Past

January 3, 2003 - November 13, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

November 15, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

SAN FRANCISCO, CA

Past

November 15, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 28, 2000 - December 2, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

January 20, 1999 - December 2, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 27, 1991 - January 13, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(9/18/2026)

North Carolina
(9/17/2026)

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/3/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

Series 66

Status Unavailable

Passed: 2/20/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Status Unavailable

Passed: 9/11/2026

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 10/5/2025

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Status Unavailable

Passed: 12/29/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 12/6/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 9/25/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 10/5/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Status Unavailable

Passed: 12/12/2023

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current firm

No current employment

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

Timothy L. Barna

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

E.F. HUTTON & CO. LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Passed: 2/3/2025

Series 66

Passed: 2/20/2020

Series 99TO

Passed: 9/11/2026

Series 7TO

Passed: 10/5/2025

Series 52TO

Passed: 12/29/2023

SIE

Passed: 12/6/2019

Series 7

Passed: 9/25/1991

Series 24

Passed: 10/5/2025

Series 53

Passed: 12/12/2023

FINRA

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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