Julius T. Barnes
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.
Julius Terrill Barnes, who also goes by Julius T Barnes, was a registered financial professional .
Julius is a previously registered financial professional and started their career in finance in 2000. Julius had worked at 9 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - December 17, 2014
USAA INVESTMENT SERVICES COMPANY
June 8, 2012 - November 13, 2012
USAA INVESTMENT SERVICES COMPANY
December 20, 2010 - June 14, 2012
USAA FINANCIAL PLANNING SERVICES
December 13, 2010 - June 14, 2012
USAA FINANCIAL ADVISORS, INC.
March 7, 2008 - March 20, 2009
STANFORD CAPITAL MANAGEMENT, LLC
March 2, 2006 - April 30, 2008
STANFORD GROUP COMPANY
March 2, 2006 - March 20, 2009
STANFORD GROUP COMPANY
February 13, 2006 - March 2, 2006
SCOTTRADE, INC.
July 20, 2004 - February 7, 2006
EQUITABLE ADVISORS, LLC
March 26, 2004 - February 7, 2006
EQUITABLE ADVISORS, LLC
February 2, 2000 - February 17, 2000
IDS LIFE INSURANCE COMPANY
February 2, 2000 - June 27, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
