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Christopher Gregory Barnes

CRD# 3060496·Registered 1999 - 2003
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Gregory Barnes was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1999 - 2003. Christopher had worked at 3 firms and has passed the Series 63 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

CLARK SECURITIES, INC.·CRD# 43803
BD
Greensboro, NC
February 24, 2003 - April 22, 2003
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
Milwaukee, WI
April 4, 2000 - January 1, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Milwaukee, WI
June 3, 1999 - July 3, 2002

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Current Firm

CS
CLARK SECURITIES, INC.

CCFS, INC. | CRG FINANCIAL SERVICES, INC. | CLARK/BARDES FINANCIAL SERVICES, INC. | CLARK SECURITIES, INC. | CLARK SECURITIES, INC D/B/A CLARK CONSULTING INVESTMENT ADVISERS

CRD#: 43803 / SEC#: 8-50445
BD
Terminated by SEC on 02/11/2017

Contact Information

Established

California since 03/01/1990

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AUSA DISTRIBUTION CORPOWNER—
FEHR, STEPHEN JTREASURER, FINOP5780742
LANING, KURT JAMESDIRECTOR/PRESIDENT2570310
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER2530826

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2001About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1999About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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