GB
Gregory J. Barber
Some features on this profile are disabled
CRD#: 3121606
GB
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.
Gregory Joseph Barber was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1998. Gregory had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) BULLS AND BEARS FINANCIAL SERVICES, LLC. INVESTMENT RELATED. 15980 PARK LANE, NORTHVILLE, MI. FINANCIAL SERVICES. MANAGING MEMBER. START 06/30/2000. 1 HR/MO. MANAGING MEMBER. 2) MFO ENTERPRISES, LLC, INVESTMENT RELATED, 15980 PARK LANE, NORTHVILLE, MI. REAL ESTATE INVESTMENT PROPERTIES. MANAGING MEMBER. START 03/28/2002. 0 HRS/MO. GENERAL MGMT/OVERSIGHT. 3) GKM ENTERPRISES, LLC. NOT INVESTMENT RELATED. 15980 PARK LANE, NORTHVILLE, MI. RESIDENTIAL RE RENTAL. MANAGING MEMBER. START 11/20/02. 0 HRS/MO. GENERAL MGMT/OVERSIGHT. 4) GJB ENTERPRISES LLC, NOT INVESTMENT RELATED. 15980 PARK LANE, NORTHVILLE, MI. COMMERCIAL REAL ESTATE, MANAGING MEMBER. START 5/10/05. 0 HR/MO. GENERAL MGMT/OVERSIGHT. 5) GREGORY J. BARBER, CPA P.C., DBA BARBER & ASSOCIATES CIR. 01/2000. NOT INVESTMENT RELATED. 15980 PARK LANE, NORTHVILLE, MI. PUBLIC ACCOUNTING. PRESIDENT AND SOLE OWNER. START 9/15/94, 9 HRS/MO. 6) EWM CAPITAL LLC, INVESTMENT RELATED. 135 W NORTH STREET, BRIGHTON, MI. HOLDING/PARENT COMPANY EXECUTIVE WEALTH MANAGEMENT, LLC, EWM INVESTMENTS, LLC, EXECUTIVE FINANCIAL PLANNING, INC. MANAGING MEMBER TO DIRECTOR (TITLE CHANGE EFF 01/01/2023). START 02/01/2017, 25 HRS/MO. 7) EXECUTIVE FINANCIAL PLANNING, INC., INVESTMENT RELATED. 135 W NORTH STREET, BRIGHTON, MI. INSURANCE. AGENT/OWNER. START 02/01/2017, 1 HR/MO. 8) EWM TAX SOLUTIONS, LLC. NOT INVESTMENT RELATED. 135 W NORTH STREET, BRIGHTON, MI. TAX PREPARATION SERVICES. OWNER, AND TAX SPECIALIST. START DATE 01/01/20202, 120 HRS/MO; MEET WITH CLIENTS, PREPARE AND SIGN TAX RETURNS AND MANAGE OPERATIONS. 9) NORTH STREET PARTNERS, LLC. NOT INVESTMENT RELATED. 135 W. NORTH STREET, BRIGHTON, MI. COMMERCIAL REAL ESTATE. MANAGING DIRECTOR AND MEMBER. START DATE: 02/01/2017 2 HRS/MO; 1 DURING TRADING
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®
NoneExperience
Past
June 1, 2017 - December 12, 2022
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Brighton, MI
Past
October 29, 2010 - December 31, 2024
EXECUTIVE WEALTH MANAGEMENT, LLC
RIA
CRD#: 140736
Northville, MI
Past
February 19, 2009 - June 6, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NORTHVILLE, MI
Past
February 17, 2009 - June 6, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NORTHVILLE, MI
Past
October 31, 2008 - February 24, 2009
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PLYMOUTH, MI
Past
June 21, 2004 - February 24, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
PLYMOUTH, MI
Past
October 20, 1998 - July 8, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2225 Lexington Rd., Louisville, KY 40206
Mailing Address
2225 Lexington Rd., Louisville, KY 40206
Phone number
(502) 451-0600
Established
Kentucky since 02/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KFG ENTERPRISES, INC. | SHAREHOLDER | |
| PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST | ESOP TRUST | |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| SAMPSON, ERNEST AUBREY | MANAGING MEMBER, ESOP TRUSTEE | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory assets under management
| Total Number of Accounts | 3,271 |
| AUM (Assets Under Management) | $ 1,051,273,980 |
Disclosures
| Regulatory Event | 1 |
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.
