Paul A. Barnette

FOUNDERS FINANCIAL ALLIANCE

Wheeling, WV 26003

Some features on this profile are disabled

CRD#: 4015846

Professional summary

Paul Anthony Barnette is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Wheeling, West Virginia and LPL FINANCIAL LLC located in Wheeling, West Virginia.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 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. 8/17/2020 - DeFranco Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/8/2020 - Founders Financial Alliance LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/2020 - 157 Hours Per Month/39 Hours During Securities Trading - Time Spent 98% - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 157 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 9/8/2020 - Founders Financial Alliance LLC - DBA: (Hybrid) DeFranco Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 08/2020 - 157 Hours Per Month/39 Hours During Securities Trading - Time Spent 98% - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 157 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 03/22/2022 - Founders Financial Alliance LLC.- DBA: DeFranco Financial LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 01/01/2022 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Founders Financial Alliance LLC, an independent investment advisor firm. I started this business activity in 3/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 04/29/2022 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 04/05/2022 - 2 Hours Per Month/ 1 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Barnette'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

August 25, 2020 - Present

FOUNDERS FINANCIAL ALLIANCE, LLC

Office #1: 1320 National Road, Wheeling, WV 26003

RIA

CRD#: 173011

Wheeling, WV

Current

August 17, 2020 - Present

LPL FINANCIAL LLC

Office #1: 1320 National Rd, Wheeling, WV 26003

RIA

CRD#: 6413

Wheeling, WV

Past

July 1, 2003 - August 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WHEELING, WV

Past

July 1, 2003 - August 26, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WHEELING, WV

Past

May 2, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

WHEELING, WV

Past

May 24, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 6, 2000 - June 5, 2001

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD#: 173011 / SEC#: 801-108700

RIA

Registered Investment Advisory firm - (11/21/2016 Approved)

Arizona

Registered Investment Advisory firm - (11/28/2016 Terminated)

Arkansas

Registered Investment Advisory firm - (11/28/2016 Terminated)

California

Registered Investment Advisory firm - (12/28/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (11/29/2016 Terminated)

District of Columbia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Florida

Registered Investment Advisory firm - (11/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/21/2016 Terminated)

Indiana

Registered Investment Advisory firm - (12/1/2016 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (11/29/2016 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2016 Terminated)

Michigan

Registered Investment Advisory firm - (12/14/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (11/29/2016 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2016 Terminated)

New York

Registered Investment Advisory firm - (11/28/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (11/30/2016 Terminated)

Ohio

Registered Investment Advisory firm - (11/28/2016 Terminated)

Oregon

Registered Investment Advisory firm - (11/28/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (11/28/2016 Terminated)

Tennessee

Registered Investment Advisory firm - (11/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (11/29/2016 Terminated)

West Virginia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (11/29/2016 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

Arizona
(8/17/2020)

California
(8/17/2020)

Colorado
(8/17/2020)

Florida
(8/17/2020)

Georgia
(8/17/2020)

Hawaii
(8/17/2020)

Illinois
(8/17/2020)

Indiana
(8/17/2020)

Maine
(8/17/2020)

Maryland
(8/17/2020)

Massachusetts
(8/17/2020)

Michigan
(8/17/2020)

Missouri
(8/17/2020)

Nebraska
(8/17/2020)

New York
(8/17/2020)

North Carolina
(8/17/2020)

Ohio
(8/17/2020)

IAR

Ohio
(8/25/2020)

Pennsylvania
(8/17/2020)

South Carolina
(8/17/2020)

Texas
(8/17/2020)

Virginia
(8/17/2020)

Washington
(8/17/2020)

West Virginia
(8/17/2020)

IAR

West Virginia
(8/25/2020)

Wisconsin
(8/17/2020)

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: 4/10/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/13/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/13/2016

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

CRD#: 173011 / SEC#: 801-108700

RIA

Registered Investment Advisory firm - (11/21/2016 Approved)

Arizona

Registered Investment Advisory firm - (11/28/2016 Terminated)

Arkansas

Registered Investment Advisory firm - (11/28/2016 Terminated)

California

Registered Investment Advisory firm - (12/28/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (11/29/2016 Terminated)

District of Columbia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Florida

Registered Investment Advisory firm - (11/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/21/2016 Terminated)

Indiana

Registered Investment Advisory firm - (12/1/2016 Terminated)

Iowa

Registered Investment Advisory firm - (11/29/2016 Terminated)

Kentucky

Registered Investment Advisory firm - (12/6/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (11/29/2016 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2016 Terminated)

Michigan

Registered Investment Advisory firm - (12/14/2016 Terminated)

Minnesota

Registered Investment Advisory firm - (12/5/2016 Terminated)

New Jersey

Registered Investment Advisory firm - (11/29/2016 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2016 Terminated)

New York

Registered Investment Advisory firm - (11/28/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (11/30/2016 Terminated)

Ohio

Registered Investment Advisory firm - (11/28/2016 Terminated)

Oregon

Registered Investment Advisory firm - (11/28/2016 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/29/2016 Terminated)

South Carolina

Registered Investment Advisory firm - (11/28/2016 Terminated)

Tennessee

Registered Investment Advisory firm - (11/28/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/28/2016 Terminated)

Virginia

Registered Investment Advisory firm - (11/29/2016 Terminated)

West Virginia

Registered Investment Advisory firm - (11/28/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (11/29/2016 Terminated)

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Contact information

Main Address

9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615

Mailing Address

Phone number

(855) 860-5940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNDERS FINANCIAL ADV 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	3,918
AUM (Assets Under Management)	$ 1,002,097,380

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Paul A. Barnette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Barnette's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

FOUNDERS FINANCIAL ALLIANCE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2000

Series 10

Date: 4/13/2016

Series 9

Date: 1/13/2016

FINRA

Current Firm

FOUNDERS FINANCIAL ALLIANCE, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDERS FINANCIAL ALLIANCE, LLC

TRUST BUT VERIFY

Contact information

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