Luann S. Barnes

WMC CAPITAL MANAGEMENT

Concord, NC 28025

Some features on this profile are disabled

CRD#: 3193187

Professional summary

Luann Sims Barnes, who also goes by Luann Simss Barnes, Luann Barnes, Tiffany Luann Sims, is a registered financial advisor currently at WMC CAPITAL MANAGEMENT, LLC located in Concord, North Carolina.

Luann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Luann has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luann Simss Barnes | Luann Barnes | Tiffany Luann Sims

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.

Mount Moriah Lutheran Church; not investment related; China Grove, NC; Religious organization; 8-12 hours/month; 0 hrs during trading; Church has a brokerage acct. While I am one of three people authorized to submit trade instructions, all transactions are approved by either a Committee or Congregation prior to submission.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luann Sims Barnes's 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

December 3, 2024 - Present

WMC CAPITAL MANAGEMENT, LLC

Office #1: 1028 Lee-ann Drive Ne Suite 220, Concord, NC 28025

RIA

CRD#: 329845

Concord, NC

Past

December 14, 2012 - December 18, 2024

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

CONCORD, NC

Past

October 9, 2008 - January 15, 2009

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

CHINA GROVE, NC

Past

June 29, 2007 - September 8, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

DAVIDSON, NC

Past

July 1, 2002 - May 29, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

CONCORD, NC

Past

April 7, 1999 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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

North Carolina
(12/3/2024)

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: 12/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/10/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WMC CAPITAL MANAGEMENT, LLC

CRD#: 329845 / SEC#:

North Carolina

Registered Investment Advisory firm - (4/10/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1028 Lee-ann Drive Ne Suite 220, Concord, NC 28025

Mailing Address

Phone number

(704) 782-7233

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	231
AUM (Assets Under Management)	$ 11,330,000

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.

Similar Advisors

Jessica Williams

VANGUARD ADVISERS, INC.

IAR

CHARLOTTE, NC

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Luann S. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luann Sims Barnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

WMC CAPITAL MANAGEMENT, LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

ADVANTAGE CAPITAL CORPORATION

FSC SECURITIES CORPORATION

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2012

Series 63

Date: 4/9/1999

Series 7

Date: 4/10/2001

Series 6

Date: 4/6/1999

Current Firm

WMC CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WMC CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors