Louis E. Barnes
Professional summary
Louis Estel Barnes III, who also goes by Duke Barnes, Louis E Barnes, Louis Estel Barnes III, Louis Estel Barnes, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Antonio, Texas and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Louis has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 55 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis Estel Barnes III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2025 - Present
STRATEGIC ADVISERS LLC
October 3, 2025 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917September 13, 2019 - May 8, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 13, 2019 - May 8, 2024
WELLS FARGO CLEARING SERVICES, LLC
March 15, 2011 - September 23, 2019
MORGAN STANLEY
February 16, 2011 - September 23, 2019
MORGAN STANLEY
October 28, 2002 - February 20, 2003
SECURITY RESEARCH ASSOCIATES, INC.
October 9, 2001 - October 4, 2002
CANTOR FITZGERALD & CO.
January 3, 2001 - July 23, 2001
W.R. HAMBRECHT + CO., LLC
December 14, 1999 - January 2, 2001
D.A. DAVIDSON & CO.
June 2, 1998 - November 5, 1999
WELLS FARGO CLEARING SERVICES, LLC
May 8, 1998 - June 1, 1998
WELLS FARGO CLEARING SERVICES, LLC
January 8, 1998 - May 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1994 - May 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2025)
(10/15/2025)
(10/23/2025)
(10/20/2025)
(10/15/2025)
(10/21/2025)
(10/14/2025)
(10/15/2025)
(10/15/2025)
(10/15/2025)
(10/15/2025)
(10/14/2025)
(10/16/2025)
(10/14/2025)
(10/14/2025)
(10/17/2025)
(10/14/2025)
(10/16/2025)
(10/16/2025)
(10/15/2025)
(10/20/2025)
(10/21/2025)
(10/15/2025)
(10/15/2025)
(10/15/2025)
(10/15/2025)
(10/15/2025)
(10/14/2025)
(10/16/2025)
(10/20/2025)
(10/15/2025)
(10/16/2025)
(10/20/2025)
(10/15/2025)
(10/22/2025)
(10/15/2025)
(10/16/2025)
(10/15/2025)
(10/15/2025)
(10/8/2025)
(10/17/2025)
(10/16/2025)
(10/15/2025)
(10/15/2025)
(10/16/2025)
(10/21/2025)
(10/16/2025)
(10/15/2025)
(10/20/2025)
Exams
Series 55
Date: 1/18/2001
Limited Representative-Equity Trader ExamFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
