Brian E. Barton

GUARDIAN WEALTH MANAGEMENT

Salt Lake City, UT 84101

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CRD#: 2429506

Professional summary

Brian Eric Barton is a registered financial advisor currently at GUARDIAN WEALTH MANAGEMENT located in Salt Lake City, Utah.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eric Barton'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

March 2, 2010 - Present

GUARDIAN WEALTH MANAGEMENT

Office #1: 50 West Broadway Suite 904, Salt Lake City, UT 84101

RIA

CRD#: 146923

Salt Lake City, UT

Past

March 28, 1997 - March 1, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SALT LAKE CITY, UT

Past

July 1, 1994 - March 1, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SALT LAKE CITY, UT

Past

April 5, 1994 - May 26, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

GUARDIAN WEALTH MANAGEMENT

12 RIA | GUARDIAN WEALTH MANAGEMENT, LLC | GUARDIAN WEALTH MANAGEMENT

CRD#: 146923 / SEC#: 801-125769

RIA

Registered Investment Advisory firm - (5/31/2022 Approved)

Utah

Registered Investment Advisory firm - (6/6/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Utah
(3/2/2010)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/15/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/4/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/7/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

GUARDIAN WEALTH MANAGEMENT

12 RIA | GUARDIAN WEALTH MANAGEMENT, LLC | GUARDIAN WEALTH MANAGEMENT

CRD#: 146923 / SEC#: 801-125769

RIA

Registered Investment Advisory firm - (5/31/2022 Approved)

Utah

Registered Investment Advisory firm - (6/6/2022 Terminated)

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Contact information

Main Address

50 West Broadway Suite 904, Salt Lake City, UT 84101

Mailing Address

Phone number

(385) 355-4455

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 151,948,154

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.

Contact information

xxxxx@xxxx.xxx

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Brian E. Barton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Eric Barton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

GUARDIAN WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/1997

Series 63

Date: 12/29/1993

Series 7

Date: 4/4/1994

Series 10

Date: 6/7/2000

Series 9

Date: 6/7/2000

Current Firm

GUARDIAN WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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