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Scott C. Barks
BARNES WEALTH MANAGEMENT GROUP
Bakersfield, CA 93309
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CRD#: 4068669
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Professional summary
Scott C Barks is a registered financial advisor currently at BARNES WEALTH MANAGEMENT GROUP located in Bakersfield, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 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. 02/2004: NON-VARIABLE INSURANCE - FIRST SOLUTIONS INSURANCE SERVICES - PARTNER/OWNER OF INSURANCE AGENCY- OFFERS LIFE & HEALTH DISABILITY INSURANCE. - TIME SPENT 50% - BAKERSFIELD, CA.
2. 6/22/2011: NON-VARIABLE INSURANCE - SCOTT C. BARKS INSURANCE SERVICES, INC. - PERSONALLY INCORPORATED WHERE COMMISSIONS FLOW TO MY CORP. FOR NON-VARIABLE INSURANCE. PRESIDENT OF SCOTT C. BARKS INSURANCE SERVICES, INC. - TIME SPENT 5% - BAKERSFIELD, CA.
3. FINHEALTH INSURANCE SERVICES. NOT INVESTMENT RELATED. 4550 CALIFORNIA AVE, SUITE 600 BAKERSFIELD, CA 93309. EMPLOYEE BENEFITS LIFE AND HEALTH. PARTNER. START 1994. 1 HR/MONTH, 0 DURING TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Scott C Barks'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®
NoneExperience
Current
January 22, 2014 - Present
BARNES WEALTH MANAGEMENT GROUP
Office #1: 5060 California Ave. Suite 600, Bakersfield, CA 93309RIA
CRD#: 132189
Bakersfield, CA
Past
November 16, 2015 - November 2, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Bakersfield, CA
Past
July 11, 2013 - April 9, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
BAKERSFIELD, CA
Past
September 12, 2012 - November 25, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
BAKERSFIELD, CA
Past
November 6, 2006 - September 10, 2012
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BAKERSFIELD, CA
Past
May 24, 2002 - February 20, 2003
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
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".
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BARNES WEALTH MANAGEMENT GROUP
BARNES & ASSOCIATES | STEVE ALLEN BARNES | IRONWOOD RETIREMENT PLAN CONSULTANTS | BARNES WEALTH MANAGEMENT GROUP, INC. | BARNES WEALTH MANAGEMENT GROUP | BARNES & ASSOCIATES, INC. | BARNES & ASSOCIATES FINANCIAL PLANNING, INC.
CRD#: 132189 / SEC#: 801-118031
RIA
Registered Investment Advisory firm - (2/3/2020 Approved)California
Registered Investment Advisory firm - (3/11/2020 Terminated)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
California(1/22/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/15/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/15/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
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BARNES WEALTH MANAGEMENT GROUP
BARNES & ASSOCIATES | STEVE ALLEN BARNES | IRONWOOD RETIREMENT PLAN CONSULTANTS | BARNES WEALTH MANAGEMENT GROUP, INC. | BARNES WEALTH MANAGEMENT GROUP | BARNES & ASSOCIATES, INC. | BARNES & ASSOCIATES FINANCIAL PLANNING, INC.
CRD#: 132189 / SEC#: 801-118031
RIA
Registered Investment Advisory firm - (2/3/2020 Approved)California
Registered Investment Advisory firm - (3/11/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5060 California Ave. Suite 600, Bakersfield, CA 93309
Mailing Address
Phone number
(661) 322-9799
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,292 |
| AUM (Assets Under Management) | $ 411,644,298 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
