Brian P. Barnes
Professional summary
Brian P Barnes, who also goes by Brian Patrick Barnes, Brian Barnes, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Charlotte, North Carolina and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian P Barnes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2023 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262March 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262July 20, 2021 - August 5, 2022
ROBINHOOD FINANCIAL, LLC
September 30, 2016 - July 27, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 9, 2008 - September 22, 2016
VANGUARD MARKETING CORPORATION
April 24, 2000 - October 5, 2000
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/12/2023)
(9/12/2023)
(9/12/2023)
(9/12/2023)
(4/4/2024)
(9/12/2023)
(9/12/2023)
(9/12/2023)
(2/15/2023)
(3/15/2023)
(9/12/2023)
(9/12/2023)
(9/12/2023)
(9/12/2023)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
