Barry S. Guinn

ARAX ADVISORY PARTNERS

Dallas, TX 75201

Some features on this profile are disabled

CRD#: 3257049

Professional summary

Barry Stephen Guinn is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Dallas, Texas and USCA SECURITIES LLC located in Dallas, Texas.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Barry has worked at 7 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 6 exams.

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 Barry Stephen Guinn'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

July 19, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 2101 Cedar Springs Road Suite 1550, Dallas, TX 75201

RIA

CRD#: 133535

Dallas, TX

Current

January 13, 2011 - Present

USCA SECURITIES LLC

Office #1: 2101 Cedar Springs Rd Suite 1850, Dallas, TX 75201

CRD#: 103789

DALLAS, TX

Past

June 30, 2021 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

January 13, 2011 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

September 17, 2002 - January 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

July 3, 2002 - January 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

July 9, 2001 - July 11, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

July 12, 2000 - January 5, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 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.

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

Alabama
(1/13/2011)

Arizona
(1/13/2011)

California
(1/13/2011)

Colorado
(1/13/2011)

Connecticut
(1/13/2011)

Delaware
(1/13/2011)

Florida
(1/13/2011)

Georgia
(1/13/2011)

Hawaii
(2/1/2016)

Illinois
(1/13/2011)

Kansas
(1/20/2011)

Massachusetts
(1/13/2011)

Michigan
(1/13/2011)

Minnesota
(1/13/2011)

Missouri
(2/4/2011)

New Jersey
(1/13/2011)

New Mexico
(1/13/2011)

New York
(1/13/2011)

North Carolina
(1/13/2011)

Ohio
(1/13/2011)

Oklahoma
(1/13/2011)

Oregon
(1/13/2011)

Pennsylvania
(1/13/2011)

South Carolina
(4/13/2020)

Texas
(1/13/2011)

IAR

Texas
(7/19/2026)

Vermont
(2/8/2011)

Wisconsin
(1/27/2011)

Wyoming
(1/13/2011)

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 66

Date: 8/27/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 3/30/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/8/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

RICHARDSON, TX

David Alvarez

EDWARD JONES

IAR

GRAPEVINE, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

Dallas, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry S. Guinn

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Stephen Guinn's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DEUTSCHE BANK SECURITIES INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2002

Series 63

Date: 9/12/2001

Series 79TO

Date: 3/30/2023

SIE

Date: 10/1/2018

Series 31

Date: 9/8/2004

Series 7

Date: 8/10/2001

Series 6

Date: 7/11/2000

FINRA

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

Similar Advisors