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QB

Quinn R. Barton

Some features on this profile are disabled
CRD#: 2379475
QB

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.

Quinn Ralph Barton III, who also goes by Quinn Barton, was a registered financial professional .

Quinn is a previously registered financial professional and started their career in finance in 1994. Quinn had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Quinn Barton

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

Past

August 4, 2014 - December 31, 2020

CARMEL PARTNERS

RIA
CRD#: 160892
SAN FRANCISCO, CA
Past

August 4, 2004 - March 12, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

June 6, 2002 - July 14, 2004

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
NEW YORK, NY
Past

May 16, 1998 - March 8, 2000

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

November 20, 1997 - May 8, 1998

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

November 6, 1996 - March 12, 1997

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

September 22, 1994 - March 3, 1995

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

February 1, 1994 - October 21, 1994

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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".
CP
CARMEL PARTNERS
CARMEL MANAGEMENT III, LLC | CARMEL PARTNERS | CARMEL MANAGMENT, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT VI, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT V, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT IV, LLC (RELYING ADVISOR)

CRD#: 160892 / SEC#: 801-74214

RIA
Registered Investment Advisory firm - (3/30/2012 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2002
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/21/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/27/2007
General Securities Principal Examination

Current Firm

CP
CARMEL PARTNERS
CARMEL MANAGEMENT III, LLC | CARMEL PARTNERS | CARMEL MANAGMENT, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT VI, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT V, LLC (RELYING ADVISOR) | CARMEL MANAGEMENT IV, LLC (RELYING ADVISOR)

CRD#: 160892 / SEC#: 801-74214

RIA
Registered Investment Advisory firm - (3/30/2012 Approved)
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Contact information

Main Address
1000 Sansome Street First Floor, San Francisco, CA 94111
Mailing Address
Phone number
(415) 273-2900
Established
Firm type
Fiscal year end
# of Employees
171

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

CARMEL MANAGEMENT III, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts8
AUM (Assets Under Management)$ 7,525,817,150

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

CARMEL PARTNERS

CRD#: 160892

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