Kevin M. Barrett

WEALTH ALLIANCE

San Diego, CA 92130

Some features on this profile are disabled

CRD#: 3216935

Professional summary

Kevin Michael Barrett, CFP® is a registered financial advisor currently at WEALTH ALLIANCE, LLC located in San Diego, California and INDEPENDENT FINANCIAL GROUP, LLC located in San Diego, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE 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.

(1) WEALTH ALLIANCE, LLC. POSITION: Officer/Director NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 110 SECURITIES TRADING HOURS: 90 START DATE: 08/01/2006 ADDRESS: 12526 High Bluff Drive, Suite 300, San Diego CA 92130, United States DESCRIPTION: 100% OWNER OF WEALTH ALLIANCE, LLC. CA REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES. (2) 100% OWNER OF "VITALNRG" DEVELOPMENT OF A WAVE ENERGY CONVERTER (WEC) DEVICE. NON-INVESTMENT RELATED. APPROX 5% OF TIME. BUSINESS CONDUCTED AT OFFICE ADDRESS OF RECORD (3) INNOVATIVE CALIFORNIA BIOSCIENCES INTERNATIONAL POSITION: Independent Contractor NATURE: Consulting Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 06/03/2020 ADDRESS: 12526 High Bluff Drive, Suite 300, San Diego CA 92130, United States DESCRIPTION: Providing material information as an consultant, not advisor. (4) INDEPENDENT FINANCIAL GROUP LLC: Yes Investment related, 12671 High Bluff Dr. #200 San Diego, Ca 92130, Broker Dealer, Registered Representative, Nov 1, 2004, 80 hours a month and 60 of those hours during securities trading hours. Duties of a registered representative such as meeting clients and working with them on securities offered through the broker dealer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Barrett'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 25, 2012 - Present

WEALTH ALLIANCE, LLC

Office #1: 12526 High Bluff Dr. #300, San Diego, CA 92130

RIA

CRD#: 140630

San Diego, CA

Current

November 1, 2004 - Present

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

San Diego, CA

Past

August 28, 2006 - December 31, 2011

WEALTH ALLIANCE, LLC

RIA

CRD#: 140630

SAN DIEGO, CA

Past

October 21, 2005 - July 25, 2011

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

November 1, 2004 - October 21, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

SAN DIEGO, CA

Past

September 15, 2003 - August 12, 2004

WEALTH ANALYTICS, INC.

RIA

CRD#: 127241

SAN DIEGO, CA

Past

March 30, 2000 - October 28, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

SAN DIEGO, CA

Past

June 21, 1999 - October 28, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/1/2004)

California
(11/1/2004)

IAR

California
(1/25/2012)

Colorado
(9/10/2008)

Nevada
(3/24/2015)

New Hampshire
(1/21/2015)

Oregon
(12/4/2013)

Texas
(3/16/2016)

Washington
(1/21/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WEALTH ALLIANCE, LLC

CRD#: 140630 / SEC#:

California

Registered Investment Advisory firm - (8/28/2006 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

12526 High Bluff Drive Suite 300, San Diego, CA 92130

Mailing Address

1628 Shields Ave, Encinitas, CA 92024

Phone number

(858) 793-0513

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 64,540,652

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

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin M. Barrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Michael Barrett's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

WEALTH ALLIANCE, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WEALTH ANALYTICS, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2000

Series 63

Date: 6/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1999

FINRA

Current Firm

WEALTH ALLIANCE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH ALLIANCE, LLC

TRUST BUT VERIFY

Similar Advisors