Chad A. Barnes
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.
Chad Allen Barnes, who also goes by Chad Allen Barnes, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1999. Chad had worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, 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
May 23, 2024 - October 28, 2025
ETC BROKERAGE SERVICES, LLC
July 26, 2022 - May 15, 2024
HILLTOP SECURITIES INC.
November 8, 2010 - September 23, 2013
HILLTOP SECURITIES INC.
September 16, 2005 - March 16, 2009
CAPIS
July 30, 1999 - August 26, 2005
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 2/16/2023
Operations Professional ExaminationSeries 7TO
Date: 7/25/2022
General Securities Representative ExaminationSeries 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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