Andrew H. Barnes

ALTAR ROCK

New York, NY

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CRD#: 3170730

Professional summary

Andrew Harding Barnes is a registered financial advisor currently at ALTAR ROCK located in New York, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Andrew has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 31 and Series 7 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 Andrew Harding Barnes'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

June 17, 2024 - Present

ALTAR ROCK

RIA

CRD#: 326868

New York, NY

Past

October 27, 2008 - July 22, 2010

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

October 24, 2008 - July 22, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 1, 2005 - October 6, 2008

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

January 1, 2005 - October 6, 2008

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

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".

ALTAR ROCK

ALTAR ROCK | ALTAR ROCK LLC

CRD#: 326868 / SEC#: 801-134664

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (12/8/2025 Terminated)

Michigan

Registered Investment Advisory firm - (2/3/2026 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

New York
(1/6/2026)

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: 2/6/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/9/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 1/7/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/27/2004

General Securities Representative Examination

Current Firm

ALTAR ROCK

ALTAR ROCK | ALTAR ROCK LLC

CRD#: 326868 / SEC#: 801-134664

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (12/8/2025 Terminated)

Michigan

Registered Investment Advisory firm - (2/3/2026 Terminated)

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Contact information

Main Address

Lexington, MA

Mailing Address

437 Tennyson Dr., Staten Island, NY 10312-6545

Phone number

(917) 226-0565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A + 2B - ALTAR ROCK LLC (12/8/2025)

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 140,546,878

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.

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Firm Stability Insights

Andrew H. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Harding Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ALTAR ROCK

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2024

Series 66

Date: 12/9/2004

Series 63

Date: 4/12/1999

Series 31

Date: 1/7/2005

Series 7

Date: 12/27/2004

Current Firm

ALTAR ROCK

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALTAR ROCK

TRUST BUT VERIFY

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