David J. Barnett
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.
David James Barnett was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2008 - December 6, 2024
COLUMBIA WEST CAPITAL, LLC
August 1, 2007 - February 11, 2008
SOURCE CAPITAL GROUP, INC.
November 18, 2002 - August 12, 2005
MORGAN STANLEY DW INC.
February 23, 1998 - August 12, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
COLUMBIA WEST CAPITAL, LLC
CRD#: 135562 / SEC#: , 8-66930
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Financial | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
